Creating and Enabling Environmenthttps://sswm.info/water-nutrient-cycle/wastewater-collection/softwares/creating-and-enabling-environment
enIntegrity Management for Water Sector Organizationshttps://sswm.info/water-integrity-management/module-2-preparation-how-adapt-integrity-management-different-contexts/integrity-management-for-water-sector-organizations
<span class="field-wrapper">Integrity Management for Water Sector Organizations</span>
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</div><span class="field-wrapper"><span lang="" about="https://sswm.info/user/64" typeof="schema:Person" property="schema:name" datatype="" xml:lang="">Tandi</span></span>
<span class="field-wrapper">Tue, 08/19/2014 - 15:05</span>
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<h3 class="field-label collective-css-head field__label">Executive Summary</h3>
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<p><a href="https://sswm.info/content/integrity-management" title="Integrity Management is a concept that can help introduce and systematically operationalise integrity values like transparency, accountability and participation into businesses by creating or adapting management structures and instruments." class="taxonomy-tooltip-link">Integrity Management</a> (IM) is a change management approach to reduce unnecessary losses from corruption and bad practice in human resources, accounting, O&M and other work processes. It can help reduce reputation risks at time when citizens, clients, and financing partners are increasingly taking note of integrity issues and demanding transparency and accountability from water organizations. The <a href="https://sswm.info/content/integrity-management" title="Integrity Management is a concept that can help introduce and systematically operationalise integrity values like transparency, accountability and participation into businesses by creating or adapting management structures and instruments." class="taxonomy-tooltip-link">Integrity Management</a> (IM) toolbox is an adaptable set of resources to support <a href="https://sswm.info/content/integrity-management" title="Integrity Management is a concept that can help introduce and systematically operationalise integrity values like transparency, accountability and participation into businesses by creating or adapting management structures and instruments." class="taxonomy-tooltip-link">Integrity Management</a> for private and public utilities, public water institutions and agencies, or water sector contractors.</p><p>Watch this short video from the Water <a href="https://sswm.info/content/integrity" title="Encompasses ethical behaviour that adheres to the rule of law and includes aspects such as Transparency, Accountability and Participation " class="taxonomy-tooltip-link">Integrity</a> Network (WIN) to get a quick overview of the IM Toolbox and how it is applied. </p><div class="responsive-embed widescreen"><iframe allow=";" allowfullscreen="" frameborder="0" height="360" src="https://www.youtube.com/embed/elmAF93GdgA" width="640"></iframe><p> </p></div>
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Introduction
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<p>There are many examples of integrity risks that are relatively common in the water sector: from illegal connections to bribery, accounting fraud to unclear procurement guidelines. The <a href="https://sswm.info/content/integrity-management" title="Integrity Management is a concept that can help introduce and systematically operationalise integrity values like transparency, accountability and participation into businesses by creating or adapting management structures and instruments." class="taxonomy-tooltip-link">Integrity Management</a> Toolbox helps different types of water sector organizations to be prepared for such challenges.</p><p>The IM Toolbox supports organizations in making integrity a part of their strategic plans, business models, and—most importantly—their daily practices to reduce risks and improve performance. The underlying approach works with a business perspective of realizing performance opportunities and advantages that arise from improving integrity.</p><p>The IM Toolbox is more than a set of integrity tools or a training concept. It is a change management approach that support organizations through an integrity change process that starts with assessing their performance and describing their business model, identifying the most relevant integrity risks, using practical tools for better managing risks, to finally monitoring performance improvements.</p><p>The IM toolbox includes detailed descriptions of common integrity risks for utilities, public institutions, river basin organizations, and water sector contractors, as well as resources on practical mitigation tools and how to implement them.</p>
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Who should use it
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<p><strong>Service providers & institutions</strong></p><ul><li>Use the IM toolbox to assess service models for integrity risks that can affect your reputation or drain resources.</li> <li>Find and implement practical solutions in a step-by-step change process for integrity and compliance aligned with customer needs.</li></ul><p> </p><p><strong><a href="https://sswm.info/content/river" title="A river is a natural watercourse, usually freshwater, flowing towards an ocean, a lake, a sea, or another river. In a few cases, a river simply flows into the ground or dries up completely before reaching another body of water. Small rivers may also be called by several other names, including…" class="taxonomy-tooltip-link">River</a> Basin Organizations</strong></p><ul><li>Use the IM toolbox to facilitate dialogue and build trust between river basin stakeholders.</li> <li>Create incentives for organizations to improve corporate governance and contribute to a basin-wide integrity plan.</li></ul><p> </p><p><strong>Regulatory agencies, donors, networks</strong></p><ul><li>Mandate the use of the IM toolbox to increase accountability among the organizations under your purview.</li> <li>Benchmark organizations on integrity and compliance as an incentive for better performance.</li></ul></div>
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How the integrity management process works in a water sector organization
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<p>Individual water sector organizations that want to enhance their integrity management can use the toolbox to better fulfil their mandate, improve economic performance, and improve customer orientation. They will assess risks and address them by selecting and implementing the integrity tools most relevant to their organization. In developing countries, these processes will often be supported by development partners working with an individual water sector organization or a group of such organizations.</p><p>The toolbox proposes a step-by-step approach to preparing, initiating, and facilitating a management-led change process towards higher levels of integrity.</p><h4><strong>Phase 1: Preparation</strong></h4><p>Like any other organizational change process, integrity management requires leadership from the top management and the governance body of an organization. This is even more crucial if the toolbox is voluntarily used within an organization without formal requirements. Before initiating the integrity change process, the organization should be aware of its scope. This toolbox is not about attending a single workshop but about implementing integrity tools, which can take a few months to several years. The integrity change process requires time and commitment from people, and the organization has to invest in the people who are willing to drive the organizational change.</p><p>The preparation phase usually starts with <a href="https://sswm.info/content/informal" title="The term “informal” in the water and sanitation sector refers to all types of water and sanitation related activities, which are not operating in the legal framework of water and sanitation management in a given area." class="taxonomy-tooltip-link">informal</a> consultations with the top management to define a more concrete objective of the integrity change process, and possibly to identify staff members who will be responsible for the process. A systematic assessment of the current integrity deficiencies and performance of the organization allows identification of the priority areas where change is needed. Based on that, it will also be possible to get a clearer picture of the scope of change the organization wants to undergo, and subsequently the time and resources that will be required.</p><p>Moreover, the preparation phase provides an early opportunity to align the integrity change process with ongoing reforms or strategic exercises of the organization. This may also entail amendments to the approach according to the organization’s need.</p><h4><strong>Phase 2: Workshop</strong></h4><p>The workshop phase takes between 1.5 and 3 days. With the help of a facilitator or coach, participants follow a seven-step methodology that allows organizations to assess their priority integrity risks and select the integrity tools most relevant to their organization. At the end of the workshop phase, the organization will have developed a road map to guide the organization in implementing the tools that were chosen in the workshop.</p><p>The following key tasks should be carried out in the workshop phase:</p><ul><li>Step 1 – Introducing the integrity change process: To create a common basic understanding of issues related to non-integrity, their negative impacts on the organization, and the incentives for organizations that commit to integrity management.</li> <li>Step 2 – Describing the organization’s business model: To visualize the internal dynamics of the organization and understand how and for whom the organization creates, delivers, and captures value.</li> <li>Step 3 – Assessing context and mapping stakeholders: To understand the external environment of the organization, including the legal framework and potential partners, for achieving higher levels of integrity.</li> <li>Step 4 – Identifying integrity risks: To detect the causes, practices, and consequences of non-integrity and to prioritize the organization’s integrity risks.</li> <li>Step 5 – Analysing integrity tools: To discover possible tools for addressing the organization’s integrity deficiencies and to evaluate them based on their applicability and relevance.</li> <li>Step 6 – Determining impacts on the business model: To understand how these tools will contribute to higher levels of performance, to prioritize and choose tools, and to set goals for the integrity change process.</li> <li>Step 7 – Developing a road map: To understand and agree how the chosen tools will be implemented after the workshop.</li></ul><h4><strong>Phase 3: Implementation & Monitoring</strong></h4><p>The implementation phase is where the actual change happens: the chosen integrity tools are implemented and improvements towards higher organizational performance are accomplished. It is also the longest and most difficult phase of the whole integrity change process. Depending on the complexity of the chosen integrity tools, it can take anything from a few months to several years. Monitoring in this phase is crucial because it helps track progress and facilitates understanding of why activities were completed while other milestones were not met. Thus it provides a basis for taking corrective action. Supporting the integrity agent and team—the staff members who take leadership for the process in the organization—is vital in this phase.</p><p>After having attended the integrity management workshop and been appointed as the integrity agent and team, participants return to their daily work with the motivation to make change happen. However, there is a risk that the integrity agent and team are absorbed in daily business and that implementation of the integrity tools is postponed until the momentum is lost. To make sure that this does not happen and that the implementation stays a priority, the integrity agent and team need to be motivated and supported by the external <a href="https://sswm.info/content/integrity-management" title="Integrity Management is a concept that can help introduce and systematically operationalise integrity values like transparency, accountability and participation into businesses by creating or adapting management structures and instruments." class="taxonomy-tooltip-link">Integrity Management</a> Coach. A debriefing with top management for the official approval of the road map and a kick-off event for communicating the purpose and goals of the integrity change process to the wider staff back up the importance of the integrity change process within the organization. Through such immediate follow-up activities, the <a href="https://sswm.info/content/integrity-management" title="Integrity Management is a concept that can help introduce and systematically operationalise integrity values like transparency, accountability and participation into businesses by creating or adapting management structures and instruments." class="taxonomy-tooltip-link">Integrity Management</a> Coach can support the integrity agent in managing the transition from the protected workshop setting into the real world of organizational practice.</p>
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Integrity Management at the Sector Level
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<p>When using the IM toolbox for a group of organizations at sector level, the process is generally led by a sponsor or lead organization, which is most active in the preparation and monitoring phases.</p><p>In the preparation phase, the lead organization can map stakeholders, carry out consultations, and develop an additional baseline to identify priority working areas. These steps are needed to adapt the tool to the regulatory framework and local context.</p><p>The risk assessments and action planning can be carried out with representatives of the different organizations together or in the individual organizations directly, depending on the scope of the integrity plan. Organizations then implement the actions agreed on with support from integrity coaches that can also be mandated by the lead organization.</p><p>The lead organizations monitors progress and possibly benchmarks participating organizations. Results should provide insight on areas to focus on for integrity management in the basin or sector as a whole, as well as on resource and capacity needs.</p>
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Experiences from Bangladesh
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<p>Watch the following documentary on KWASA’S experience promoting integrity and the first results of its new policies for the organization.</p><p><iframe allow=";" allowfullscreen="" frameborder="0" height="360" src="https://www.youtube.com/embed/clyv_tjiQ6U" width="640"></iframe></p>
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Background
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<p>The IM Toolbox was developed by the Water <a href="https://sswm.info/content/integrity" title="Encompasses ethical behaviour that adheres to the rule of law and includes aspects such as Transparency, Accountability and Participation " class="taxonomy-tooltip-link">Integrity</a> Network (WIN), <a href="https://cewas.org/">cewas</a>, and <a href="https://sswm.info/node" class="taxonomy-tooltip-link">Deutsche Gesellschaft für Internationale Zusammenarbeit</a> (GIZ). It has already been successfully adapted and scaled to work for very different organizations: from small contractors in Zambia, to regulatory agencies and service providers in Latin America, river basin organizations in Indonesia or urban utilities serving millions of users in Bangladesh.</p>
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Tue, 19 Aug 2014 15:05:30 +0000Tandi8043 at https://sswm.infoDeveloping Human Resources (WWC)https://sswm.info/water-nutrient-cycle/wastewater-collection/softwares/creating-and-enabling-environment/developing-human-resources-%28wwc%29
<span class="field-wrapper">Developing Human Resources (WWC)</span>
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</div><span class="field-wrapper"><span lang="" about="https://sswm.info/user/57" typeof="schema:Person" property="schema:name" datatype="" xml:lang="">spuhler</span></span>
<span class="field-wrapper">Wed, 08/25/2010 - 14:07</span>
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<p>The development of human resources is at the core of sustainable development. People and communities that are empowered with the necessary knowledge and skills will be the architects of their own development and able to confront a diverse set of challenges in a rapidly changing social, economic and environmental landscape. In the context of <a href="https://sswm.info/content/sustainable-sanitation-and-water-management" title="Sustainable Sanitation and Water Management" class="taxonomy-tooltip-link">Sustainable Sanitation and Water Management</a>, the challenge is to develop human capacities at all levels in order to provide adequate, equitable and sustainable services. Human capacity development therefore must include the capacity of the community as well as the organisations that work with them, facilitating a harmonious exchange and integration of local capacity and local knowledge with the external technical information and social skills. HRD is as much a process and a goal.</p>
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Human resource development, particularly when approached within a participatory learner-centred framework, is a powerful tool for generating a collective vision and building consensus on the appropriate path to achieving common goals. Learner centred approaches assure that the transfer of technical information and skills respond to felt needs and therefore generate greater ownership and commitment to the agreed solutions. In short, human resource development
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Promotes a common “language” in the sector, a shared knowledge of concepts, familiarisation with issues and challenges, similar terminology for referring to different systems, and agreed criteria for determining sustainability –-and ultimately support for closed-loop ecological sanitation systems and designs
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Can improve the manner in which programs and people approach community. Through horizontal dialogue, appropriate solutions are reached through consensus, and are context-specific
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Can facilitate improved communication among members of the work team for greater consensus regarding core concepts, but also the design aspects and system details of the infrastructure itself. By developing greater and improved social and technical knowledge within the work team, this team will improve the quality of its work
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Improves information and knowledge management by providing access to relevant information, sharing of experiences, creating training and resource materials, and the dissemination of findings
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Water and sanitation programs, particularly within government ministries, tend to be dominated by technical personnel, who have been trained in the old paradigm and therefore do not believe in the new closed-loop decentralised approaches --and do not adequately value the social processes involved
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Participatory social processes are considered to be overly time-consuming and costly, without a full appreciation of the longer term rewards in terms of sustainability and community empowerment
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The educational establishment, in general, has not kept up with the changes and innovative trends in the sanitation and water sector and therefore is inadequately prepared to provide the capacity development that is required
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There is inadequate investment in the social and HRD components of water and sanitation programs, in order to complement and accompany the significant financial resources that are committed to infrastructure projects
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The lack of political will to develop equitable and sustainable systems in benefit of the world`s poor has left an enormous gap in terms of the development and demonstration of appropriate user-friendly and environmentally sustainable systems
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<div class="sl"><p>Many groups and organisations need training and orientation so that they can understand and support the integrated sustainable sanitation and water management approaches: householders need to understand the range and implications of the options open to them; CBOs, which undertake construction, O&M and/or management of local projects, will need training on technical matters, financial management, contract procedures and reporting; NGOs, which often have a critical role in providing <a href="http://www.sswm.info/category/train-trainers/train-trainers">training</a> and direct support to communities and linking them with external resources, will need to develop <a href="https://sswm.info/content/communication" title="A two-way process that involves both, listening to what people are saying and responding. " class="taxonomy-tooltip-link">communication</a>, participatory training and other social as well as technical capacities; local government authorities and technical personnel can be assisted in acquiring a better understanding of the social, institutional, financial, as well as technical factors that have to be addressed; private providers can be encouraged through developing a range of skills in business management, loan applications, analysis of market demands, and exposure to a broader range of technical options to address different contexts and demands (see figure below).</p><figure role="group" class="align-center"><img alt="In order to build human resources, new concepts and paradigms have to be understood at all levels of society. Source: SEECON (2010)" data-entity-type="file" data-entity-uuid="02ec171e-f7eb-4a96-893f-9187f982a7ff" height="455" src="https://sswm.info/sites/default/files/inline-images/SEECON%202010.%20Capacity%20Development%20Pyramid.jpg" width="357" /><figcaption><em>In order to build human resources, new concepts and paradigms have to be understood at all levels of society. Source: SEECON (2010)</em></figcaption></figure><p> </p></div><p>In all these contexts, the training approach should be learner-centred (see also [7475-adult learning]). In other words, beginning at the level of experience and understanding of the group of learners, in order to build from there, in a process of mutual respect, analysis and discovery of the appropriate solutions (EAWAG 2005).</p>
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Introduction
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<p>The world is changing, and so is how we should approach sanitation and water resource management. The new paradigm is far more concerned with the impact or “footprint” of our human activities on the natural environment both in terms of the consequences of over exaction of water from aquatic ecosystems and subsurface aquifers, as well as the pollution of downstream systems with our untreated “waste”. This paradigm shift also involves a search for smaller decentralised sustainable systems which are generally more energy and resource efficient and environmentally friendly by [7564-closing water and nutrient loops]. This approach also has important implications in terms of human resource development.</p>
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Human Resources Development (HRD)
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<h4>Community Empowerment</h4><p>In order to assure that the sanitation and water systems are contextually appropriate and will be adequately managed and maintained over time, it is essential to respect and support the central role of the end users and communities, and to involve them in all of the essential stages of the process – i.e. needs identification, selection of technical options, system design, and [7321-operation and maintenance] (O&M). In other words, communities can no longer be viewed as passive beneficiaries, but rather as central actors whose capacities and knowledge need to be developed from the outset.</p><p>In this process, it is important to recognise the innate knowledge and skills of local people as the foundation upon which new capacities can be developed. Community people - and adults in general - learn best from experience (see [7475-adult learning]) and, from this standpoint, often will have evolved certain attitudes and cultural norms that will make them more or less resistant – or open - (to considering and ultimately accepting new approaches and technologies that could be of personal and collective benefit. For his reason, it is critical that the external “change agents” have the necessary understanding, together with the educational and <a href="https://sswm.info/content/communication" title="A two-way process that involves both, listening to what people are saying and responding. " class="taxonomy-tooltip-link">communication</a> tools, in order to facilitate the sharing of diverse perspectives and “world views” to arrive at the appropriate solution for the specific situation (see also awareness raising (<a href="https://sswm.info/media/58">see PPT</a>)).</p><p>Ultimately, the development of local capacity must include the facilitation of a positive self-image (self-esteem and self-confidence), good <a href="https://sswm.info/content/communication" title="A two-way process that involves both, listening to what people are saying and responding. " class="taxonomy-tooltip-link">communication</a> and organisational skills, as well as technical capacity to assure the necessary ongoing monitoring and maintenance of the systems. In order to adequately develop this range of capacities – attitudinal, information and skills – the best training process should be highly participatory and inclusive from the beginning, well before actual system infrastructure installation takes place; subsequently focusing more on the more directive delivery of technical information and skills; and finally a more internally driven approach where the users begin to assume their roles in the longer term operation, monitoring and sustainability of the systems.</p><figure role="group" class="align-center"><img alt="Community involvement in planning for sanitation. Source: CONRADIN (2007)" data-entity-type="file" data-entity-uuid="0f5baa6a-c0fe-40eb-b942-46ac26eef4b1" height="370" src="https://sswm.info/sites/default/files/inline-images/CONRADIN%202007.%20Participatory%20Planning.JPG" width="493" /><figcaption><em>Community involvement in planning for sanitation. Source: CONRADIN (2007)</em></figcaption></figure><p> </p><p>It is important to recognise and appreciate that the additional cost and effort in the development of community human resources are an investment. It does not only benefit the long term sustainability of the particular systems that are being considered, but it also recognises the fact that community people are the primary building blocks of sustainable communities. Hence, the confidence, knowledge and skills generated in a particular project will be replicated and magnified over time in multiple community-based initiatives that will impact on the livelihoods and quality of life of all involved. Indeed, sustainable productive sanitation by definition must be a multi-sectoral, interdisciplinary effort involving most aspects of a healthy community – e.g. water, solid waste, agriculture, health, education, employment generation, architecture, environment, watershed management, etc. (see also [7633-planning and process tools] section, which provides an overview of participatory approaches).</p><h4>Professional Education and Training</h4><p>As distinct from a normal [7475-adult experiential learning] process, most water and sanitation sector professionals – e.g. sanitation engineers and practitioners, policymakers, managers, and operators – have acquired much of their information and ideas in a formal, top-down academic educational process, and tend to try to pass it on in the same vertical manner. But perhaps even more serious is the fact that “curricula of Universities, continuing education programs, technical schools, research institutes and training centres mostly continue to present conventional (centralised, waterborne) sanitation as the only legitimate approach.” (UNESCO-IHP & GTZ 2006). The urgent challenge then is to simultaneously transform not only WHAT the formal system teaches, but also HOW they teach. To a significant degree, formal academic institutions tend to continue to be “ivory towers”, with limited relevance to the real needs of the majority of the words underserved and attributing insufficient value to experiential learning and thus offering too few practical learning opportunities too late in a student’s career.</p><p>Educational institutions should:</p><ul><li>Fully integrate the discourse and criteria for sustainability into their curricula;</li> <li>View the primary stakeholders (users and local communities) not as objects, but as partners for jointly developing sustainable sanitation solutions.</li> <li>Prepare students to think about wastewater – urine and faeces and grey/black water – as resources;</li> <li>Make clear that health and a healthy environment is a prerequisite for human productivity, and productivity determines economic well being (UNESCO-IHP & GTZ 2006).</li></ul><p> </p><p>Finally, training centres and universities need to revise their curricula to provide much greater time in the field so that their student trainees can learn from the communities – or, at least, acquire the humility to recognise that their [7276-school learning] is only half –if that– of the whole picture. Indeed, in many cases the university degrees are less important than the experiential/field learning itself. It is encouraging that many universities are being restructured to include extended practical internships with sector organisations and others, while the more progressive are actually giving greater emphasis to the experiential with the academic and research programs driven by field realities and demands (ESW 2011).</p><h4>Institutional Staff HRD</h4><p>It is also important that the development institutions themselves get their priorities straight. They should recognise that identifying the right people to do the jobs has to do not only with their formal preparation, but as well with their experience and commitment. Often, organisations make the mistake of being top-heavy, looking for people that are overly qualified and have a career path that is excessively upward mobile in institutional terms, thus minimising the value on field experience and commitment. In order to overcome this understandable and fairly natural tendency, there need to be incentive structures to keep qualified people in the field –and also the other way around, to get the “managers and technicians” out into the field. Another useful strategy is to develop a more pro-poor institutional staffing structure, which is more equitable and “flatter” in terms of salary scales and compensations. There should also be recognition of highly qualified people who have opted to work and keep themselves closer to the field. Moving to the "urban" head office should not be seen as the only way of being rewarded and remunerated for good performance.</p><h4>Resource Centres</h4><p>Resource centres – or nodes –, whether public or private, can play an important role in providing relevant and accessible HRD and support services, such as information management and dissemination, integrated training, applied research and consultancies. In addition to facilitating short courses in both technical and social themes for both the general public as well as tailor made for specific institutional and program contexts, resource centres, in partnership with universities and other more formal training institutes, can provide longer term training programs (e.g. diploma courses) with formal accreditation. Given their flexibility and closer proximity and contact with field programs and realities, resource centres can frequently play a strategic role in interpreting and translating field needs and demands, in order for the more formal academic institutions to adapt and respond with more relevant educational programs and information resources (EAWAG 2005).</p>
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Wed, 25 Aug 2010 14:07:44 +0000spuhler12325 at https://sswm.infoNationalisation (WWC)https://sswm.info/water-nutrient-cycle/wastewater-collection/softwares/creating-and-enabling-environment/nationalisation-%28wwc%29
<span class="field-wrapper">Nationalisation (WWC)</span>
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English
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</div><span class="field-wrapper"><span lang="" about="https://sswm.info/user/57" typeof="schema:Person" property="schema:name" datatype="" xml:lang="">spuhler</span></span>
<span class="field-wrapper">Wed, 08/25/2010 - 14:06</span>
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<h3 class="field-label collective-css-head field__label">Executive Summary</h3>
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<p>The nationalisation of sanitation and water management is one option for (local) governments to cope with the increasing problem of lacking sanitation and water services. For the public sector, nationalising the utilities means facing the following responsibilities: operational viability, conductive policy environment and legal framework, legitimacy and accountability, financial sustainability and independent, functional regulatory system (MONTEMAYOR 2005).</p>
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Often leads to increasing participation
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Can be a solution when privatisation has shown to be ineffective
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Investment decisions in the public interest (serving poor etc.)
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Adaptation of policies and legal framework
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<div class="field-label field__label">Disadvantages</div>
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High costs and efforts for local government
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Process of restructuring the public sector needs time
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Accountability and legitimacy important but problems with corruption possible
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<div class="field-label field__label">Applicability</div>
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<p>Nationalisation is only applicable if the local government has the capacity and capability to lead the water and sanitation sector properly. Therefore, the government should be clearly structured, or accept help from a partner within a PUP.</p>
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Introduction
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<p>Nationalisation is one option when building an institutional framework for sustainable sanitation and water management. More information about [7047-building an institutional framework] might help to get an overview of what else can be done. In general, sanitation and water management can be in private hands (see also [7052-privatisation]), in public hands ― which will be discussed below ― or it is a mixture of both, like with [7051-public private partnerships] (adapted from THE WORLD BANK 2006).</p>
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Problems with Water and Sanitation Management
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<p>(Adapted from THE WORLD BANK 2006)</p><p>“In many developing countries, the delivery of water services is unsatisfactory. Many households do not receive water from the main utility, even though they would be prepared to pay for the service. Others are connected, but get water for only a few hours a day. Even fewer are connected to a sewer network. Often the water is not safe to drink and the wastewateris not properly treated” (THE WORLD BANK 2006).</p><p>The most serious obstacles ― under both public and private operation ― to achieving a local government’s goals in water and sanitation management are:</p><ul><li>Water and sanitation services are critical to all consumers.</li> <li>They are often provided under conditions of natural monopoly; one well-run firm can supply the services at a lower cost than two or more well-run firms.</li> <li>The investments required to provide the services are often long-lived and irreversible; once made, they cannot be reversed should the returns to the investment prove less than expected.</li></ul><p> </p><p>The biggest challenge for local governments is to address these problems. One possibility to do so might be the (re-)nationalisation of parts (or all parts) of the sanitation and water management sector or the improvement of the status quo of state-run water and sanitation utilities. Also, nationalisation might be an answer when privatisation has shown to be ineffective in the specific region. Therefore, the key question needs to be: How to improve and expand the public sanitation and water service delivery (adapted from HALL 2005)?</p>
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Possible (Positive) Outcomes of Nationalisation
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<p>A (re-)nationalisation of the water and sanitation sector has the following four main benefits:</p><ul><li>Operating performance: The incentive to act in the public interest (e.g. through future elections or public protest) might motivate the public provider to operate more efficiently than its private counterpart, which might be stronger led by profit incentives.</li> <li>Investment decisions:As the public provider is not profit driven, investment decisions in sanitation and water management are usually made in the public interest (e.g. serving the unconnected poor, not focusing on areas that promise high profit margins).</li> <li><a href="https://sswm.info/content/participation" title="The action of taking part in activities and projects. The participation of different stakeholders in water and sanitation project is crucial for several reasons: By a broad participation, different points of view can be incorporated, leading to projects and solutions that are more widely accepted…" class="taxonomy-tooltip-link">Participation</a>: <a href="https://sswm.info/content/participation" title="The action of taking part in activities and projects. The participation of different stakeholders in water and sanitation project is crucial for several reasons: By a broad participation, different points of view can be incorporated, leading to projects and solutions that are more widely accepted…" class="taxonomy-tooltip-link">Participation</a> of community members (e.g. their integration in decisions about sanitation and water management issues like investment decisions) leads to higher accountability and transparency of the whole water and sanitation sector, and also to a better self-esteem of the community members.</li> <li>[7617-Policies and legal framework]: The responsibility of the local government/ authorities for the water and sanitation sector puts the issue directly on the political agenda, which leads to a positive change in sanitation and water management policies and the legal framework.</li></ul><p> </p>
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Models of Nationalisation
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<p>(Adapted from BALANYA et al. n.y.)</p><p>There are many different models of nationalisation in sanitation and water management, of which the most important are listed below:</p><ul><li>People-centred, participatory public models(see down below Porto Alegre in Brazil): improved public water supply through increased citizen and user participation as well as other democratic reforms.</li> <li>Worker’s co-operatives(water workers): co-operatives organised by workers, including the self-employed, who are at the same time the members and owners of the water and sanitation enterprise. Principal purpose of worker's co-operatives is to provide employment and business opportunities to its members and manage it in accordance with cooperative principles.</li> <li>Community control: mobilising the community's own capacities and local resources for improved sanitation and water services.</li> <li>Public-Public Partnerships (PUPs): see down below.</li></ul><p> </p><p>A Public-Public Partnership (in opposition to a [7051-public private partnership]) is the “collaboration between two or more public authorities or organisations, based on solidarity, to improve the capacity and effectiveness of one partner in providing public water or sanitation services. […] Neither partner expects a commercial profit, directly or indirectly” (HALL et al. 2009). The partners may come from within the same country or from different countries. In PUPs, the aim is to address common causes of public service failure and secure affordable water and sanitation services for all.</p><p>In general, the objectives of PUPs are to improve the capacity of the assisted partner. There are a range of specific objectives involved in PUPs. These can be divided into five broad categories (HALL et al. 2009):</p><ul><li>training and developing human resources (workforce)</li> <li>technical support on a wide range of issues</li> <li>improving efficiency and building institutional capacity</li> <li>financing water services</li> <li>improving participation/ democratisation</li></ul><p> </p><p>PUPs have a number of advantages over other partnerships based on commercial objectives (HALL et al. 2009):</p><ul><li>Mutual understanding of public sector objectives and ethos</li> <li>Non-commercial relationship, low risk to municipality/community</li> <li>Transparency and accountability</li> <li>Many public partners to choose from, north and south</li> <li>Possibility of reinvesting 100% of available financial resources into the system</li> <li>Long-term gain in capacity-building</li> <li>Local control over objectives,methods</li> <li>Can involve local civil society, workforce</li> <li>Partners which have benefited from a PUP can become supporting partners to other cities</li></ul><p> </p>
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Anti-Privatisation and Re-Nationalisation
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<p>Some complaints against the progressive privatisation of the water and sanitation sector have arisen during the last decade, because the privatisation wave induced by the World Bank and the Asian Development Bank in the 1990s was in some cases not as successful as it was first hoped to be. Privatisation was expected to bring greater efficiency and lower prices, attract greater volumes of investment, especially in developing countries, and extend water and sanitation to the unconnected poor. Nowadays,failures of privatisation are ample evidence to some experts, that the water needs of the poor should not be left in the hands of profit-driven, trans-national water corporations (adapted from HALL 2005). This is why a growing anti-privatisation movement is fighting for the re-nationalisation of water and sanitation utilities where privatisation failed.</p><p>One example of a failing privatisation is Metro Manila (adapted from MONTEMAYOR 2005): Seven years after the utility was privatised in 1997 in Metro Manila, coverage, pricing, service obligations, non-revenue water, water quality and other targets stipulated in the Concession Agreement remained unmet. The two private concessionaires, Maynilad Water Services, Inc. and Manila Water Company Inc. did not reach their targets, both companies place unconnected individuals at an estimated one million and inflation of water prices was very high. This development lead to protests (see picture below).</p><figure role="group" class="align-center"><img alt="Protests against the privatisation in Manila. Source: CR (2014)" data-entity-type="file" data-entity-uuid="19934e18-4cf9-4af8-b9a6-b3df98149b21" height="432" src="https://sswm.info/sites/default/files/inline-images/CR%202014.%20Protests%20against%20the%20privatisation%20in%20Manila_0.png" width="634" /><figcaption><em>Protests against the privatisation in Manila. Source: CR (2014)</em></figcaption></figure><p> </p><p>In some cases, where privatisation failures are leading to wide public protest and huge problems in water and sanitation service delivery, a re-nationalisation might be a possible solution to improve it. Therefore, the next chapter lists key steps to enable the environment for nationalisation.</p>
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Key Steps to Enable the Environment for Nationalisation
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<p>(Adapted from MONTEMAYOR 2005)</p><p>Any public entity that seeks to replace private concessionaires must meet several requirements:</p><h4>Operational Viability</h4><ul><li>Need of financial resources to fund a clear-cut capital expenditure programme that especially targets poorest areas for expansion and most vulnerable sections of the pipe network for rehabilitation.</li> <li>Need of institutional capacity to implement service obligation targets.It must be demonstrated that a public agency/ corporation can provide skilled, service-oriented and accountable personnel (see also [7047-building an institutional framework]).</li> <li>A system of incentives for good performance and clear punitive measures for unmet performance targets must be institutionalised (see also [7049-strengthening enforcement bodies]).</li></ul><p> </p><h4>Conducive Policy Environment and Legal Framework</h4><ul><li>A broad national policy to provide universal water coverage aligned with the MDGs and general poverty reduction targets.</li> <li>Individual water agencies, government departments and local government units need to be motivated by a clear, co-ordinated push towards water provision, especially for the poor.</li> <li>Legislation for the rules and regulations that will govern a public water utility, including performance standards and penalties for the non-fulfilment of such.There is likewise a need for legislation creating a new, independent regulatory system (see also [7046-creating policies and a legal framework]).</li></ul><p> </p><h4>Legitimacy and Accountability</h4><ul><li>Social preparation, continuing education and dialogue to develop consensus and commitment towards responsibilities, rights and obligations concerning water (see also [7057-school campaigns] and [7058-SSWM in school curriculums]).</li> <li>Community participation in water resource management, prevention of leakages and illegal connexions and even collective maintenance of a water system can be encouraged through field personnel who can interact with, dispense and collect information from residents concerning water issues.</li> <li>Higher tariffs may be needed to invest in improvements for the many unserved and badly served areas (see also [7326-water pricing]). People must become confident that the money they will infuse into a public company (via taxes and via cross-subsidisation) will not be stolen by corrupt officials and equally corrupt public works contractors (see also [7622-water corruption]).</li> <li>Transparency in the technical and financial processes of the utility.Public access to the utility’s books, capital expenditures maps, price indexes, audits, regulatory procedures, etc. should be ensured. This transparency will enable greater and more meaningful participation of communities, organisations, local government officials, and other stakeholders in policy and decision-making.</li> <li>A clear responsibility and accountability chain.An alternative structure should indicate the responsible personnel for specific areas of water administration such as coverage issues, service issues, repairs, metering and billing, etc. Ideally, there should be locally assigned personnel to respond to communities’ queries and concerns.</li></ul><p> </p><h4>Financial Sustainability</h4><ul><li><a href="https://sswm.info/content/financing" title="Financing means the organisation and acquisition of funds to pay for the full costs of a project (planning, building/ carrying out, operation & maintenance, monitoring & evaluation, etc.)." class="taxonomy-tooltip-link">Financing</a> remains a problematic issue for public alternatives. The following have been suggested as sources of alternative financing: co-financing between national and local governments; the corporatisation of water authorities, securitisation (floating municipal/city bonds for water system projects), etc.</li> <li>Cross subsidies and tariff adjustments.A form of socialised billing can be implemented by private concessionaires, where the first ten cubic metres of water is charged at the lowest rate, with prices increasing progressively after certain volume levels are breached (see also [7326-water pricing] and financing (<a href="https://sswm.info/media/61">see PPT</a>)).</li></ul><p> </p><h4>Independent, Functional Regulatory System</h4><ul><li>The need for regulation cannot be over-emphasised, even within a public setting. Regulation is necessary to ensure the consistent delivery of service obligations, to determine “efficient” pricing, to conserve water, to extract professionalism from managerial staff, and to ensure the financial viability of the utility (especially when public subsidies are involved).</li> <li>Regulators of public water utilities should have equity as an additional and explicit objective that might conflict with the regulatory function of devising “efficient” pricing patterns.</li> <li>Subsidies for water connexions and even usage can have a significant impact on poverty reduction. Regulators of a public utility can be guided by such a principle and enforce a universal service obligation on connexion, while balancing usage-related and other fixed charges.</li></ul><p> </p>
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Example: Porto Alegre in Brazil
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<p>(Adapted from HALL 2005; VIERO 2003; HALL et al. 2002)</p><p>Porto Alegre in Brazil is one example for a well working people-centred, participatory public model for water supply and sanitation. The comparatively low rate of infant death (Porto Alegre: 13.8 deaths per thousand births, national: 65 deaths per thousand births) stands in direct correlation with improvements in the levels of water and sanitation demonstrated in the following.</p><ul><li>DMAE as an autonomous municipal organisation:The Departamento Municipal de Água e Esgoto (DMAE – Municipal Department of Water and Sanitary <a href="https://sswm.info/content/sewage" title="Waste matter that is transported through the sewer. It contains generally excreta (urine or faeces) and water (blackwater), grey water and may also contain other wastes (e.g. kitchen waste)." class="taxonomy-tooltip-link">Sewage</a>) is wholly owned by the municipality of Porto Alegre. Despite this, DMAE enjoys separate legal personality from the city council, operational autonomy and financial independence.</li> <li>Participatory Budgeting:The Participatory Budget process is a form of direct democracy, allowing citizens to participate in the neighbourhood they live in or within a particular thematic area and choose which of their priorities the municipality should implement.</li> <li>Participatory Budgeting in water and sanitation:The Participatory Budget takes place in the 16 neighbourhoods in which the city is divided. Citizens meet to vote on what of their priorities the available resources should be invested.</li> <li>Transparency and participation:All decision-making processes are effectively open, the weekly and the investment planning process of the Participatory Budget system itself.</li> <li>Performance, efficiency and service delivery: Positive outcomes range from an increase of service coverage and sewerage services to an increase of wastewater treatment. The DMAE employs over 2.000 workers, runs an educational program for illiterate workers and training courses for technical, administrative and operational issues.</li></ul><p> </p>
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Wed, 25 Aug 2010 14:06:55 +0000spuhler12319 at https://sswm.infoPrivatisation (WWC)https://sswm.info/water-nutrient-cycle/wastewater-collection/softwares/creating-and-enabling-environment/privatisation-%28wwc%29
<span class="field-wrapper">Privatisation (WWC)</span>
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English
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</div><span class="field-wrapper"><span lang="" about="https://sswm.info/user/57" typeof="schema:Person" property="schema:name" datatype="" xml:lang="">spuhler</span></span>
<span class="field-wrapper">Wed, 08/25/2010 - 14:05</span>
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<h3 class="field-label collective-css-head field__label">Executive Summary</h3>
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<p>“Public sector utilities in developing countries have often not been efficient in providing access to reliable water and sanitation services. [...] Countries across the world are increasingly looking to the private sector for help in providing needed water services. Towards this end, privatisation of water and sanitation services is viewed to be a cost effective method of service delivery that also enhances quality and performance” (NYANGENA 2008). However, the privatisation of former publicly owned sectors or utilities always raises concerns. In cases of privatising the water and sanitation sector of a town, community or even a whole country causes more than only concerns – it raises fierce protests and sometimes even violent opposition (QUEHENBERGER 2008). Focussing on benefits and challenges of privatisation in sanitation and water management, we will define actors and models of the tool, and lead through four implementation stages to ensure a smooth change to privatisation on the local level.</p>
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Profit incentive might motivate private provider to operate more efficiently than its public counterpart, to make deliberate investments decisions and miss fewer profitable opportunities to expand the business, e.g. extending access to unconnected households that want service and can pay for it
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Different models allow variations, not just complete privatisation
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Privatisation enables public sector to profit by financial, business and other types of knowledge and skills and an innovative entrepreneurial approach in project implementation and management
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Privatisation opens up opportunities for private investments
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Functions can be delegated through privatisation
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Preparation and implementation of privatisation is a lengthy and expensive process
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Many stakeholders are involved: This might lead to disagreements about the change process
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The contract design needs to be deliberate and is therefore very complex
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Private operator might exploit missing conditions of the contract
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Fear to ‘lose’ the public good (water) to the private sector might lead to protest of civil society
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Profit-driven private operator might not act in public interest
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Weak institutional bodies may not have the capacity to take over the services after the termination of the contract, as knowledge and know-how is lost
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<p>The applicability of privatisation differs from region to region and depends on the arrangement proposed. In countries with laws supportive for privatisation in sanitation and water services and with good-quality information on the system, the process might be very applicable.</p><p>Generally, privatisation is applicable in urban areas (including slums and <a href="https://sswm.info/content/informal" title="The term “informal” in the water and sanitation sector refers to all types of water and sanitation related activities, which are not operating in the legal framework of water and sanitation management in a given area." class="taxonomy-tooltip-link">informal</a> settlements), small towns, and rural areas, as long as a serious private operator can be found.</p><p>Privatisation does not necessarily have to take over the whole sanitation and water management sector. Contracts can also be made for small, specific sectors (like with service or management contracts or BOTs or BOOs), so their applicability is good on a local level.</p><p><span face="">Privatisation is not appropriate in the case of projects which result in fast technological and other changes, as it would be difficult to determine in the long-term and with an acceptable level of certainty the standard of services rendered. The provision for a sufficient level of contractual flexibility is necessary to adapt to such rapid changes, and at the same time to foresee and agree in advance on the cost of such adjustments (APPP 2009)</span>.<br /> </p>
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Introduction
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<p>Private sector participation in form of privatisation is one option when building an institutional framework for sanitation and water management (see [7047-building an institutional framework] for more information on building an institutional framework for sanitation and water management, which might help to get an overview of what else can be done). In general, sanitation and water management can be in public hands (see [7054-nationalisation]), or in private hands ― which will be discussed below ― or it is a mixture of both, like with [7051-public private partnerships] (adapted from THE WORLD BANK 2006).</p>
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Problems in Water and Sanitation Services
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<p>(Adapted from THE WORLD BANK 2006)</p><p>“In many developing countries, the delivery of water services is unsatisfactory. Many households do not receive water from the main utility, even though they would be prepared to pay for the service. Others are connected, but get water for only a few hours a day. Even fewer are connected to a sewer network. Often the water is not safe to drink and the wastewater is not properly treated” (THE WORLD BANK 2006). The most serious obstacles ― under both public and private operation ― to achieving a local government’s goals in water and sanitation management are:</p><ul><li>Water and sanitation services are critical to all consumers.</li> <li>They are often provided under conditions of natural monopoly; one well-run firm can supply the services at a lower cost than two or more well-run firms.</li> <li>The investments required to provide the services are often long-lived and irreversible; once made, they cannot be reversed should the returns to the investment prove less than expected.</li></ul><p> </p><p>The biggest challenge for local governments is to address these problems and thus encourage investments to improve quality, lower costs, and extend access. One possibility to do so might be the privatisation of parts (or all parts) of the sanitation and water management sector.</p>
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Possible (Positive) Effects of Privatisation
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<p>(Adapted from THE WORLD BANK 2006)</p><figure role="group" class="align-right"><img alt="Some households want service and can pay for it. Source: WSP (2002)" data-entity-type="file" data-entity-uuid="55397d29-53c3-4d9f-ae6e-5e32a44463ec" height="423" src="https://sswm.info/sites/default/files/inline-images/WSP%202002.%20Some%20households%20want%20service%20and%20can%20pay%20for%20it.png" width="526" /><figcaption><em>Some households want service and can pay for it. Source: WSP (2002)</em></figcaption></figure><p>Privatisation introduces an operator that is independent of the local government and has a strong incentive to be profitable. For the local government, this might cause some problems, as a private provider can not be directed in the same way as a public provider, and might have the incentive to take actions that are not in the public interest but enable more profits. Yet, independence and incentive to profits may also help the local government to achieve its objectives. Effects can mostly be seen in three areas:</p><ul><li>Operating performance: The profit incentive might motivate the private provider to operate more efficiently than its public counterpart.</li> <li>Investment decisions: The profit incentive might lead the private operator to make deliberate investments decisions and miss fewer profitable opportunities to expand the business, e.g. extending access to unconnected households that want service and can pay for it.</li> <li>[7046-Policy] and its [7049-enforcement]: The presence of independent private providers might lead to governmental problems like trading policy for money, as the private provider might try to shape those [7046-policies] and pays for it with services and money. For this reason, good arrangements and deliberate [7046-policies] and [7049-enforcement methods] need to be in place (see also [7617-political and legal framework] or [7049-strengthening enforcement bodies].)</li></ul><p> </p><p>The private sector has always been involved in the water and sanitation sector in some form or other, from tendering for construction contracts in large urban supplies to the <a href="https://sswm.info/content/informal" title="The term “informal” in the water and sanitation sector refers to all types of water and sanitation related activities, which are not operating in the legal framework of water and sanitation management in a given area." class="taxonomy-tooltip-link">informal</a> provision of vended water in unserved areas. However, a new role is currently being shaped due to globalisation and the importance of private participation in the water and sanitation sector is increasing (INWRDAM 2010).</p>
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Problems of Privatisation
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<p>Even though privatisation is likely to be seen as a way to solve the problem of poor governmental capacity to deliver water and sanitation service, there are often also problems with private sector participation that need to be considered. GREEN (2003) brings forward four main problems:</p><ul><li><strong>Undermining capacity:</strong> Private sector participation often undermines local (and national) government capacity, which leads to limited capacity of governments to take services back into their management when contracts end or fail. Privatisation should not result in increased or irreversible dependence on private companies, and there must be clauses in the contract to prevent this dependence.</li> <li><strong>Poor people as recipients rather then participants:</strong> The involvement of local communities and users of water and sanitation services is often lacking in private sector involvement reform programmes. Poor people are still mainly seen as recipients rather than contributors to development. Whether the contracts involve large-scale or small-scale private sector participation, the focus is on giving contracts to the private sector for constructing or operating services. Urban and rural communities are rarely consulted, leading to a lack of ownership. It would seem that old problems such as lack of community involvement, which led to previous failures, are continuing, raising serious doubts over the sustainability of privatisation projects.</li> <li><strong>Inflexible finances:</strong> Cost recovery and capital cost contributions are necessary if water services are to be made sustainable over time. However, the way these principles are applied often denies poor people access to services. Expensive technology choices and a failure to consider non-cash contribution the poor are able to make are widespread amongst those involved in private sector participation contracting. Donors are guilty of promoting an approach that is narrow and mechanistic, allowing for little flexibility and wider perspectives incorporating community action and the complexities of poverty.</li> <li><strong>Compromised accountability:</strong> [7050-<a href="https://sswm.info/content/decentralisation" title="Decentralisation describes the transfer of central government powers, competences and resources to the local government, closer to the people and/citizen. The concept can also be applied to infrastructures (e.g. decentralised wastewater treatments)." class="taxonomy-tooltip-link">Decentralisation</a>] has not seen the benefits of responsiveness to people’s needs and greater accountability in many countries. Often, this is because the central governments have not increased the local government’s personnel or trained them to manage greater responsibility. [7050-Weak decentralised government agencies] can not be expected to learn quickly about private sector contracting and be able to monitor and supervise the activities of contractors beyond provincial capitals. Therefore, decentralisation needs to be a well prepared process to enable the local governments to cope with privatisation (see also [7050-decentralisation]).</li></ul><p> </p><p>In addition to this, the following problems might appear and need to be considered when the private sector gets involved in sanitation and water management:</p><ul><li>In some cases the water prices/tariffs for the civil society have risen due to the privatisation (adapted from ARDHIANIE 2005)</li> <li>The private investor might only be interested in profitable cities, and not in rural, poor areas.</li> <li>Protest and fear of the civil society might lead to conflicts. Therefore, the involvement of the community in the process is necessary, with an opportunity to comment on proposals through, for example, commenting on tender documents and the planning and design of contracts, so that reforms will further the concerns of poor people. Proactive openness and transparency by the local government in all reform processes will also lessen the possibility of civil strife.</li> <li>[7321-Operation and maintenance] might be forgotten by the private investor after successful implementation of new utilities</li></ul><p> </p>
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Actors of Privatisation
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<p>(Adapted from GREEN 2003)</p><p>There might be many stakeholders involved in privatisation, some of them may be based outside the country. Below is a list of possible stakeholders:</p><ul><li><strong>Commercial banks</strong> provide loans for private companies. Their loans tend to be more expensive than loans from other sources, which increases the cost of a project.</li> <li><strong>International financing institutions</strong> include for instance the World Bank, the International Monetary Found or other international development bank. Along with donors, they might make loans to the local government.</li> <li><strong>Donors</strong> include multi-lateral donors like the European Union, the World Bank, or other development banks. They also include bilateral donors, which are official aid agencies in developed countries. International financing institutions and donors might force governments to privatise by putting a condition on funding.</li> <li>The <strong>government</strong> authority (central, local, municipal) is the client. It is in control of the project and so is the decision-maker, but will face lots of pressure from different stakeholders.</li> <li><strong>Consultants</strong> include lawyers, staff of private companies like engineers and project managers or independent consultants. They are hired by the (local) government to bring in expertise on certain aspects of the privatisation.</li> <li><strong>Private companies</strong> are involved in bidding for the contract. Companies expressing interest in the contract might include manufacturers, consultancy firms and construction and engineering companies. Many of these companies offer expressions of interest early on, with no intention of submitting a bit, in order to get commercial information on the water market.</li> <li><strong>Other stakeholders</strong> might be directly or indirectly affected by or interested in privatisation, such as NGOs, Civil Society Organisations, environmentalists, lawyers, media, workers, academics, human rights advocates and Community-Based Organisations.</li> <li><strong>The civil society </strong>needs to be included in the process for ensuring a smooth change process (and to avoid the risks of civil opposition).</li></ul><figure role="group" class="align-center"><img alt="Increase of water prices is mainly a problem for the poor and might appear with privatisation. Source: WUERKER (n.y.)" data-entity-type="file" data-entity-uuid="e316e97e-b712-4254-a930-3bb670615785" height="377" src="https://sswm.info/sites/default/files/inline-images/WUERKER%20n.y.%20Increase%20of%20water%20prices%20is%20mainly%20a%20problem%20for%20the%20poor%20and%20might%20appear%20with%20privatisation.jpg" width="628" /><figcaption><em>Increase of water prices is mainly a problem for the poor and might appear with privatisation. Source: WUERKER (n.y.)</em></figcaption></figure><p> </p>
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Models of Privatisation
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<p>(Adapted from REES 2008)</p><p>Privatisation occurs with any introduction of private sector participation in the ownership and/or control (responsibility for day-to-day management) of a sanitation and/or water service institution. The more the private sector is involved in the ownership and control, the more private sector oriented is the model of privatisation. Below listed are the different models of privatisation:</p><ul><li><strong>Service contract ― Buying in:</strong> Single function contracts to perform a specific service for a fee, e.g. instal meters.</li> <li><strong>Management contract:</strong> Short-term contracts, typically for five years, where a private firm is only responsible for operations and maintenance.</li> <li><strong>BOT (Build-Operate-Transfer)/ BOO (Build-Operate-Own):</strong> Contracts are issued for the construction of specific items of infrastructure, such as a bulk supply reservoir or treatment plant. Normally, the private sector is responsible for all capital investment and owns the assets until transferred to the public sector, but in BOO schemes, private ownership is retained.</li> <li><strong>Lease:</strong> Long-term contract (usually 10-20 years but can be longer), after which the private sector is responsible for operations and maintenance and sometimes for asset renewals. Assets remain in public sector and major capital investment is a public responsibility.</li> <li><strong>Concession:</strong> The local government lets a long-term contract, usually over 25 years, to a private company, which is responsible for all capital investment, operations and maintenance. The assets themselves remain public sector property.</li> <li><strong>Partial divestiture:</strong> The local government sells a proportion of shares in a ‘corporatised’ enterprise or creates a new joint venture company with the private sector.</li> <li><strong>Full divestiture:</strong> Full transfer of assets to private sector through asset sales, share sales or management buyout. Private sector responsible for all capital investment, maintenance, operations and revenue collection.</li></ul><p> </p>
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Take into consideration
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<p>(Adapted from THE WORLD BANK 2006)</p><p>Among things to be considered before privatising are:</p><ul><li>Consider possible positive and negative effects of privatisation on customers (higher costs, better connexion to water and sanitation facilities, etc.) and other stakeholders.</li> <li>Tariffs might change ― this needs to be worked out according to a proposed arrangement (see also [7326-water pricing]).</li> <li>Choosing and designing good institutions for monitoring and enforcement of operator performance, adjusting tariffs and resolving disputes is important (see also [7317-participatory monitoring] and [7049-enforcement]).</li> <li>Arrangements need to be transparent ― they should be published and the operator should be selected in an open process.</li> <li>Roles and responsibilities of all stakeholders involved need to be clarified (contracts).</li> <li>Public support is better than protest: awareness raising (<a href="https://sswm.info/media/58">see PPT</a>) is important to gain public support and to avoid the fear of ‘losing’ a public good through privatisation, e.g. with [7074-media campaigns].</li> <li>The private provider needs to have the ability to make good operating and investment decisions and therefore have enough freedom. It should gain when making decisions right and loose when getting them wrong. “The provider should be allowed to do well when it improves the business, but likewise it should bear the risks it has agreed to bear; it should not automatically be able to renegotiate the agreement when its profits decline” (THE WORLD BANK 2006).</li> <li>Furthermore, the operator needs to be protected from the risk of local government changes or changes in the rules of the game, like cutting the prices after the operator has invested (THE WORLD BANK 2006). </li></ul><p> </p>
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Implementation of Privatisation
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<p>(Adapted from THE WORLD BANK 2006)</p><p>The preparation and implementation of an arrangement for privatisation usually involves four stages that might be overlapping and iterative:</p><p><strong>Stage 1 ― Developing the policy: </strong>Objectives are set within this stage, and the reform leader needs to be identified. Ground rules for the structure of the sector are determined. Important sub-steps of stage 1 are:</p><ul><li>Allocating responsibilities to different tiers of local government, e.g. which level of local government should have the responsibility for water services?</li> <li>Deciding on the market structure:How should each provider’s service area be determined? Should a single provider have the responsibility “from source to tap” or should functions such as bulk supply be separated from distribution? Etc.</li> <li>Setting competition rules:The local government needs to consider questions whether to award exclusive franchises, whether to encourage alternative providers, whether to allow water operators to merge, etc.</li></ul><p> </p><p><strong>Stage 2 ― Designing the details of the arrangement:</strong> Work on service standards and tariffs, risk and stakeholder views comes together to define the responsibilities the local government intends to assign to the operator and how the relationship will be managed. At the end of this stage, laws and contracts embodying the proposed arrangements may be drafted, and when necessary, bodies to implement the arrangement created.</p><p> </p><p><strong>Stage 3</strong> <strong>― Selecting the operator:</strong> The local government tries to attract potential operators, selecting the operator that offers the best combination of technical skills and cost to fit the local needs and circumstances.</p><p> </p><p><strong>Stage 4</strong> <strong>― Managing the arrangement: </strong>After the operator is selected, the hard work of managing the relationship starts. If the design stage was done well, the rules and institutions created should keep the relationship on track and serve the public interest. But, any new relationship of the magnitude and importance of private participation in sanitation and water management is likely to take some time to work smoothly, and special efforts will be needed to get the arrangement off to a good start. During all but the shortest and simplest of arrangements, there are likely to be tariff reviews and other adjustments. At the end of the initial contract period, the local government needs to decide on the next steps.</p><figure role="group" class="align-center"><img alt="Transparency and the involvement of the public is important for avoiding fear and protests. Source: WSP (2000)" data-entity-type="file" data-entity-uuid="c357dacd-eebe-4793-952f-a65dbe8ca7ae" height="496" src="https://sswm.info/sites/default/files/inline-images/WSP%202000.%20Transparency%20and%20the%20involvement%20of%20the%20public%20is%20important%20for%20avoiding%20fear%20and%20protests.png" width="616" /><figcaption><em>Transparency and the involvement of the public is important for avoiding fear and protests. Source: WSP (2000)</em></figcaption></figure><p> </p><p>The time required for the four steps differs from region to region and by the arrangement proposed. In countries with laws supportive for privatisation in sanitation and water services and with good-quality information on the system the process might go on rapidly. Also, a management contract takes less time to prepare and implement than a concession. With strong commitment of the local government, a management contract might be designed and implemented in under 12 months, and a concession can easily require two years.</p><p>Securing the financing might need to be addressed separately from selecting the operator, e.g. with leases or management contracts.</p><p>Each stage of the arrangement requires a different level of detail and precision, so the local government should consider all different subject areas like financing, responsibilities, tariffs, etc. before deciding on a type of arrangement.</p>
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Wed, 25 Aug 2010 14:05:56 +0000spuhler12314 at https://sswm.infoPublic Private Partnerships (WWC)https://sswm.info/water-nutrient-cycle/wastewater-collection/softwares/creating-and-enabling-environment/public-private-partnerships-%28wwc%29
<span class="field-wrapper">Public Private Partnerships (WWC)</span>
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<span class="field-wrapper">Wed, 08/25/2010 - 14:03</span>
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<h3 class="field-label collective-css-head field__label">Executive Summary</h3>
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<p>The public sector might not be able to cope with the challenges regarding sanitation and water management and therefore cooperates with the private sector through a "partnership". Public Private Partnerships (PPPs) are partnerships between the public sector and the private sector for the purposes of designing, planning, financing, constructing and/or operating projects, which would be regarded traditionally as falling within the remit of the public sector (INWRDAM 2010). Here, we will concentrate on the advantages of a PPP in sanitation and water management, and explain step-by-step how the implementation of such a PPP works.</p>
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PPPs enable the public sector to profit by financial, business and other types of knowledge and skills and an innovative entrepreneurial approach in project implementation and management
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PPPs open up opportunities for private investments
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Functions can be delegated through PPPs
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PPP contracts assure fairness of contracting parties
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Preparation and implementation of PPPs is a lengthy and expensive process
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Many stakeholders: might lead to disagreements about the change process
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Contract design needs to be deliberate and is therefore very complex
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One of the contracting parties might exploit missing conditions of the contract
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There is a dispute of whether public goods such as water and sanitation should be (partly) privatised. Affordable services to all parts of society must be guaranteed
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<p>Public Private Partnerships are applicable in urban areas (including slums and <a href="https://sswm.info/content/informal" title="The term “informal” in the water and sanitation sector refers to all types of water and sanitation related activities, which are not operating in the legal framework of water and sanitation management in a given area." class="taxonomy-tooltip-link">informal</a> settlements), small towns, and rural areas, as long as a serious private partner can be found.</p><p>PPPs do not necessary have to take over a big part of sanitation and water management. Contracts can also be made for small, specific sectors, so their applicability is good on a local level.</p><p>PPPs are not appropriate in the case of projects which result in fast technological and other changes, as it would be difficult to determine the standard of services rendered in the long-term and with an acceptable level of certainty. The provision for a sufficient level of contractual flexibility is necessary to adapt to such rapid changes, and at the same time to foresee and agree in advance on the cost of such adjustments (APPP 2009).</p>
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Public Private Partnerships for Sustainable Sanitation and Water Management
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<p>(Adapted from INWRDAM 2010)</p><p>Building PPPs is one possible step when building an institutional framework for sanitation and water management. More information on building an institutional framework for sanitation and water management might help to get an overview of what else can be done (see [7616-institutional framework]). In general, sanitation and water management can be in public hands (see [7054-nationalisation]), or in private hands (see [7052-privatisation]) or it is a mixture of both, like with PPPs.</p><p>Making water and sanitation services accessible for everyone is one of the main targets of the Millennium Development Goals (MDGs). It is also the core responsibility of both national and local governments to satisfy the legitimate (human) rights of all citizens and safeguard the interests of the poor. In this regard, governments are increasingly seeking professional expertise through various forms of PPPs, which are expected to significantly contribute to achieving local and national objectives in affordable ways. PPPs are thus one institutional option to cope with the challenges of water and sanitation services, and they take part in the process to enable the environment for sustainable sanitation and water management.</p><p>Public private partnerships open up opportunities for private investments, which can result in the realisation of projects. Those projects would otherwise, based on the classic (budgetary) funding, not be possible or would require much longer periods of time for implementation, which is often not acceptable where certain public services or their adequate level should be ensured promptly (APPP 2009). A key objective of a PPP is to allocate responsibility to the person(s) best placed to manage and deal with the task. Certain responsibilities may be more effectively managed by the private sector rather than the public sector (INWRDAM 2010).</p><p>The private sector has always been involved in the water and sanitation sector in some form or the other, from tendering for construction contracts in large urban supplies to the <a href="https://sswm.info/content/informal" title="The term “informal” in the water and sanitation sector refers to all types of water and sanitation related activities, which are not operating in the legal framework of water and sanitation management in a given area." class="taxonomy-tooltip-link">informal</a> provision of vended water in unserved areas. However, a new role is currently being shaped due to globalisation and the importance of PPPs in the water and sanitation sector is increasing (INWRDAM 2010).</p><p>Public private partnerships are different from [7052-privatisation] in that the right to use public property is granted to a private partner for a definite period of time (such as the agreed term), and on expiration of the term the property usually goes back to the public sector in its original state or subject to a fee if investments were made to increase its value (APPP 2009).</p>
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Actors in a PPP
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<p>(Adapted from SDC et al. 2005)</p><p>The common actors in a Public Private Partnerships (PPPs) are:</p><ul><li>Contracting parties: local authority, service operator</li> <li>Key stakeholders (strongly influencing the PPP): both (all) contracting parties, national and municipal governments, investors, regulators, donors, trade union(s), consumers and NGOs</li> <li>Stakeholders (affected by the PPP): All above, households, community and gender groups, beneficiaries, etc.</li></ul><p> </p><p>Agencies for PPPs might also be helpful to make the implementation process of a PPP easier, to delegate a function and therefore make sure the PPP is going to work well.</p><p>You can see how the spheres of each actor involved in a PPP overlaps with the spheres of the others in the graph below:</p><figure role="group" class="align-center"><img alt="Examples of Actors in a Given PPP. Source: SDC et al. (2005)" data-entity-type="file" data-entity-uuid="cabf06bd-88af-4776-9225-ea9aee9365c2" height="297" src="https://sswm.info/sites/default/files/inline-images/SDC%20et%20al.%202005.%20Examples%20of%20Actors%20in%20a%20Given%20PPP_0.png" width="524" /><figcaption><em>Examples of Actors in a Given PPP. Source: SDC et al. (2005)</em></figcaption></figure></div>
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Things to Consider
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<p>(Adapted from FARLAM 2005)</p><p>PPPs do not only have advantages. There is a wide discussion about giving the “public good” water and sanitation in the hands of private parties. The decision whether a PPP is the right option for sanitation and water management needs to be made with some considerations to make sure it works well.</p><ul><li>The private sector is not always more efficient than the public sector</li> <li>Service provision is often more expensive for the consumer with PPPs</li> <li>PPPs need complex and demanding contracts</li> <li>Finding a private partner and working out the contract might be very time-consuming</li> <li>A system for the monitoring and the enforcement of the articles in PPP contracts needs to be in place (see also <a href="https://sswm.info/water-nutrient-cycle/wastewater-collection/softwares/creating-and-enabling-environment/strengthening-enforcement-bodies-(wwc)">strengthening enforcement bodies</a>)</li> <li>Clear definition of roles and responsibilities of different stakeholders are needed</li> <li>The exposure to disputes needs to be clarified in the contract</li></ul><p> </p><p>In some cases, a fully private or a fully public structure will make more sense. Read more on these options here:</p><ul><li><a href="https://sswm.info/water-nutrient-cycle/wastewater-collection/softwares/creating-and-enabling-environment/privatisation-(wwc)"><strong>Privatisation</strong></a></li> <li><a href="https://sswm.info/water-nutrient-cycle/wastewater-collection/softwares/creating-and-enabling-environment/nationalisation-(wwc)"><strong>Nationalisation</strong></a></li></ul></div>
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Stay up to date about water entrepreneurship!
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<p>Subscribe <a href="https://mailchi.mp/2826fca22240/swep_sswm">here</a> to the new Swiss Water Entrepreneurship Pact (SWEP) newsletter. <a href="https://www.water-entrepreneurship-pact.ch">SWEP</a> is a network of organizations joining hands to help entrepreneurs design and develop lasting water and sanitation businesses. </p>
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How to Implement a PPP
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<p>(Adapted from APPP 2009)</p><figure role="group" class="align-left"><img alt="Co-operation is needed for a well functioning PPP. Source: WSP (2003)" data-entity-type="file" data-entity-uuid="2763ef39-743b-451f-8031-4f3a8b974bc1" height="381" src="https://sswm.info/sites/default/files/inline-images/WSP%202003.%20Co-operation%20is%20needed%20for%20a%20well%20functioning%20PPP.png" width="478" /><figcaption><em>Co-operation is needed for a well functioning PPP. Source: WSP (2003)</em></figcaption></figure><p>The basic concept of any public private partnership (PPP) is simple: instead of funding and building a distribution network, kindergarten, public garage or other facilities and infrastructure on its own (in this case related to sanitation and water management), which is followed by [7321-operation and maintenance] and the provision of end services, the public sector concludes a long-term contract with the private sector which then performs all or part of the activities in place of the public sector.</p><p>The public sector retains only its regulatory and supervisory function (such as the laying down of <a href="https://sswm.info/water-nutrient-cycle/wastewater-collection/softwares/command-and-control-tools/standards-(wwc)">standards</a> for the services rendered and the surveillance of conformity). On the other hand, the private sector may collect a fee for the services rendered directly from the end user (and bear the risk of market demand) or from the public sector in the form of rent and the like (and bear the risk of availability of the facility/infrastructure). The private sector usually also undertakes the tasks such as [7321-maintenance], operation and similar tasks, and assumes the risks which the private sector can manage better.</p><p>One of the main challenges in introducing PPPs lies in the proper definition of structures and ‘rules for the game’ for all actors: roles and responsibilities must be assigned and regulatory mechanisms must be established from the outset. What is more, a PPP can only be successful if the involvement of civil society is ensured. Not surprisingly, these issues are crucial for public utilities as well. Yet, while under public service provision, the relevant policies may be adapted gradually, in a PPP, the “rules of the game” need to be set from the start (SDC et al. 2005).</p><p>In the following, a step-by step guide leads through the implementation of a PPP for sanitation and water management in seven steps (adapted from APPP 2009):</p>
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<h4>Step 1 — Strategic Planning</h4><p>Before any drawing-out and proposing of potential projects, it is necessary to set long-term strategic goals which should be realised through the projects concerned. The “strategy” is a document which sets goals to achieve over periods in excess of 5-20 years. Periods of up to 5 years are covered by action plans, workflows etc.<br />Based on those plans, annual implementation plans (business, financial and others) are drawn up. Respect for the implementation of superior-priority projects ensures an optimum investment of time, money, and of natural and human resources. An important part of any strategy is the setting of measurable goals, a timeframe for their implementation, ensuring their wider social agreement and an assessment of the funds required. The strategic planning should also include political and state bodies, scientific institutions, NGOs and various other stakeholders.<br />The adoption of a strategy is its political confirmation. Thus, through adoption, it becomes part of the adopted policy (see [7617-policies and legal framework] for more information). Long-term and stable political support and wide-ranging support provided by stakeholders are key preconditions for a successful implementation of any strategy.</p><p> </p><h4>Step 2 — Determining Strategy Implementation Goals and Selecting the Most Appropriate Implementation Solution</h4><p>Good goal setting depends on what one actually wants to achieve as part of the strategy concerned and the specific objectives of the proposed investment/project. It is based on the accurate definition of the problem, where it is particularly important not to determine potential solutions in advance.<br />After goal setting, it is necessary to conduct an analysis of all potential solutions in terms of the strategy in question, but also within the framework of other adopted strategies. Solutions that include capital investments and those that do not need to be considered, and after the analysis of all solutions one solution needs to be chosen.<br />In order to ensure knowledge and skills that cannot be secured within the public sector, it is necessary to plan the retaining of outside counsel. Outside counsel should be picked through the public tender procedure.</p><p> </p><h4>Step 3 — Decision on Using the PPP Model and Research of Potential Investor</h4><p>The decision whether it is justifiable to use the PPP model should be based on the knowledge whether the costs of the public sector (over the whole lifetime of the project) would be lower in the case of the PPP model than in the case of traditional procurement. If not, the use of the PPP model needs to ensure some other important advantage (such as easier access to the supply market, new knowledge, human resources, etc.).<br />In order to guarantee a successful implementation of the PPP-model, it is important to assure the interests of potential investors, and also the best possible competition by and between potential investors. Therefore, it is important to research the market interests before the publication and implementation of the public tender procedure for the selection of a private partner. If it turns out that there is no interest in the offered project on the market, its structure should be changed to make it more attractive to potential investors and tenderers.</p><p> </p><h4>Step 4 — Drawing up and Approving Tender Documents</h4><p>When a project is approved, the contracting authority may begin to draw up tender documents for the selection of a private partner, i.e., the implementation of the project according to the PPP model.<br />The contracting authority must submit tender documents. The content should be in line with the project approved. The contracting authority also makes the decision which of the two possible public procurement procedures (the negotiated procedure or the competitive dialogue, see below) should be used in the case in question.</p><p> </p><h4>Step 5 — Implementing the Public Tender Procedure, Selecting the Private Partner and Contracting</h4><p>Selecting a private partner is a public procurement procedure regulated in the legislation governing public procurement or in a concession award procedure. PPP contracts are therefore concluded as either public procurement contracts or concession contracts. At first, the decision on the public procurement procedure needs to be taken:</p><ul><li>A negotiated procedure is a procedure whereby the contracting authorities consult the economic operators of their choice and negotiate the terms of contract with one or more of these.</li> <li>A competitive dialogue is a procedure wherein any economic operator may request to participate and whereby the contracting authority conducts a dialogue with the candidates admitted to that procedure, with the aim of developing one or more suitable alternatives capable of meeting its requirements, and on the basis of which the candidates selected are invited to submit their tender.</li></ul><p> </p><p>After choosing the procedure, the procurement takes place and the private partner needs to be selected. What follows is the implementation of the contract (the delivery, controlling the subject-matter of procurement, payment, the guarantee, etc.).</p><p> </p><h4>Step 6 — Implementation of the Contract</h4><p>Usually, one or both signatories must fulfil certain agreed preconditions for the entry into force of the contract, as it normally begins to run with the signing of the contract.<br />The most critical phase of contract implementation is usually the phase of construction or reconstruction of structures or infrastructure. Completion of the works (if agreed) is generally a precondition for the provision of the public service and the emergence of the payment obligation by either the final users, or the public partner. As soon as the works are finished, i.e., when the provision of the public service begins, receipts from the services rendered ensure a return on investment and the PPP project enters a safer phase of implementation.<br />In the phase where public services are already being provided, it is important for the public partner to ensure effective supervision of the standard of such services. A precondition for this is ensured through the contractual provisions which define the relevant standards, which the private partner is under the obligation to perform in the rendering of the services agreed, the organisation and procedures for ensuring effective internal and external supervision of the service standards, and a calculation of the rate at which the financial obligations should be reduced in the case where the services provided are not at the agreed level. The said provisions must also include the obligations and rights of the partners, such as the obligation of the private partner to ensure that the public partner has got access to the location(s) where the services are rendered, verification of the procedures and access to the relevant documents, access to financial documents, and the like.<br />In view of the long-term nature of PPP contracts, the occurrence of disputable situations is very probable, and it is extremely important to foresee the manner of their resolution in the contract. Disputes should be resolved as soon as possible and at the appropriate level in each organisation in order to avoid the unnecessary stalling of disputes.</p><p> </p><h4>Step 7 — The End of a Contract (by Expiry or Termination)</h4><p>A PPP contract is concluded for a fixed term, and has — just like all other obligations — a limited duration, depending on the term stipulated in the contract.<br />In the case of PPP contracts and their regular extinction, they must include detailed provisions on the transfer of ownership. The most important issue which must be regulated in a PPP contract is the issue of the standard of quality of the accomplishment at the time of handover. All rights for using the transferred generated accomplishment must also be transferred to the public partner, as well as (technical) documents necessary for use. The public partner may have the obligation to take over any employees working for the private partner at the moment of handover whose jobs are connected with the issue.<br />In the case of contract termination, the main rule is that the parties are released from their contractual obligations, other than the liability for damages in certain cases of termination. Contract termination also results in the obligation of restitution of what was received as part of performance, and the return of any benefits, mostly in the form of pecuniary compensation, which the contracting party has accumulated from what it should return.</p>
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Wed, 25 Aug 2010 14:03:59 +0000spuhler12302 at https://sswm.infoDecentralisation (WWC)https://sswm.info/water-nutrient-cycle/wastewater-collection/softwares/creating-and-enabling-environment/decentralisation-%28wwc%29
<span class="field-wrapper">Decentralisation (WWC)</span>
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<span class="field-wrapper">Wed, 08/25/2010 - 14:00</span>
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<p>In order to increase sanitation and water management efficiency and improve equity and justice for local people, a participatory and community-based approach is crucial. Democratic decentralisation is a promising means of institutionalising and scaling up popular participation that makes sustainable sanitation and water management effective (adapted from RIBOT 2002). This factsheet focuses on the decentralisation process and its possible outcomes. Two case studies from South Africa and Bolivia highlight the diversity of decentralisation outcomes for sanitation and water management and the importance of a proper implementation process.</p>
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Helpful means to simplify implementation of many other SSWM tools
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Local governments closer to civil society than central governments
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Enables stronger participation of civil society
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Can help to meet local needs and expectations
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Better monitoring because of the “close” look
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Use of local capacity
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Local governments often lack capacity and resources to take over responsibilities in a decentralisation process
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Often, transfer of power is insufficient
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Problems with corruption, elite capture
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Sometimes, transparency is missing
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<p><a href="https://sswm.info/content/decentralisation" title="Decentralisation describes the transfer of central government powers, competences and resources to the local government, closer to the people and/citizen. The concept can also be applied to infrastructures (e.g. decentralised wastewater treatments)." class="taxonomy-tooltip-link">Decentralisation</a> is a helpful means for the implementation of sustainable sanitation and water management tools on the local level. However, it is no necessary pre-condition, as sustainable sanitation and water management intervention tools can be implemented within central states as well.The applicability of decentralisation varies from case to case: Some central governments hamper local governments in service delivery, as policies and laws are set against such a decentralisation. For a successful application, a strong transfer of powers and resources from the central government to local governments is needed, as well as accordingly policies and legal frameworks. Informing the public is also important to focus their participation in the decentralisation process for designing it in a democratic way.</p>
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(Democratic) Decentralisation for Sustainable Sanitation and Water Management
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<p>(Adapted from DE 2009; JONG 2009; RIBOT 2002)</p><p><a href="https://sswm.info/content/decentralisation" title="Decentralisation describes the transfer of central government powers, competences and resources to the local government, closer to the people and/citizen. The concept can also be applied to infrastructures (e.g. decentralised wastewater treatments)." class="taxonomy-tooltip-link">Decentralisation</a> is any act in which a central government formally cedes powers to actors and institutions at lower levels, in a political-administrative and territorial hierarchy. Democratic (or political) decentralisation occurs when powers and resources are transferred to authorities representative of and downwardly accountable to local populations. The aim of democratic decentralisation is to increase popular participation in local decision-making and to increase accountability and efficiency of the government in the delivery of services. As local governments operate more closely with the people than any other level of government, they might be able to identify the needs and preferences of communities better than authorities in centralised governments.</p><p>Thus, decentralisation could be a logical first step to implement any sustainable sanitation and water management interventions on the local level. Only if resources and powers are decentralised, it is possible for local authorities to decide on the most sustainable solution in their local area. For ensuring the efficiency of the implementation tools, the participation of the local population should be starched, which is best possible with a democratic decentralisation reform. Public participation can in turn add to sustainable sanitation and water management (DE 2009).</p><p>However, the implementation of sustainable sanitation and water management intervention tools is also possible in central states. <a href="https://sswm.info/content/decentralisation" title="Decentralisation describes the transfer of central government powers, competences and resources to the local government, closer to the people and/citizen. The concept can also be applied to infrastructures (e.g. decentralised wastewater treatments)." class="taxonomy-tooltip-link">Decentralisation</a> is not a necessary pre-condition for the implementation of the intervention tools, but in many cases it simplifies the whole process if local governments are able to take certain decisions.</p><p>The problem of service provision by local governments is that it may be hampered by the low capacity of local governments, [7622-corruption], elite capture and political influence. The lack of political accountability, people’s participation, transparency, policy coherence, capacity at the lower level and monitoring and evaluation have held back the success of decentralisation programmes in service delivery in water supply and sanitation in developing countries (DE 2009). This factsheet aims to help understand these decentralisation problems and the whole process, to avoid negative outcomes and to facilitate positive outcomes, supporting the implementation of sustainable sanitation and water management intervention tools.</p>
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Main Benefits of Democratic Decentralisation
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<figure role="group" class="align-center"><img alt="Decentralisation brings governments closer to the people. Source: MASOUD (n.y.)" data-entity-type="file" data-entity-uuid="d571e6e6-7728-4973-964c-13a9172cd493" height="320" src="https://sswm.info/sites/default/files/inline-images/MASOUD%20n.y.%20Villagers%20Needs.jpg" width="442" /><figcaption><em>Decentralisation brings governments closer to the people. Source: MASOUD (n.y.)</em></figcaption></figure><p> </p><p>In order to increase sanitation and water management efficiency and improve equity and justice for local people, a participatory and community-based approach is crucial. “Democratic decentralisation is a promising means of institutionalising and scaling up popular participation that makes sustainable sanitation and water management effective” (RIBOT 2002). More precisely, decentralisation can lead to the following benefits (adapted from RIBOT 2002):</p><h4><strong>Equity</strong>:</h4><p>Greater retention and fair or democratic distribution of benefits from local activities</p><h4><strong>Efficiency:</strong></h4><p>Increased economic and managerial efficiency through:</p><ul><li><strong>Accounting for costs in decision making</strong><em>: </em>When communities and their representatives make decisions, they might take into account (“internalise”) the whole array of costs to local people.</li> <li><strong>Increasing accountability: </strong>By bringing public decision making closer to the citizenry, decentralisation is believed to increase public-sector accountability and therefore effectiveness.</li> <li><strong>Reducing transaction costs: </strong>Administrative and management transaction costs may be reduced by means that increase the proximity of local participants, and access to local skills, labour and local information.</li> <li><strong>Matching services to needs:</strong> Bringing local knowledge and aspiration into project design, implementation, [7316-management] and evaluation helps decision makers to better match actions to local needs.</li> <li><strong>Mobilising local knowledge:</strong> Bringing government closer to people increases efficiency by helping to tap the knowledge, creativity and resources of local communities.</li> <li><strong>Improving coordination: </strong><a href="https://sswm.info/content/decentralisation" title="Decentralisation describes the transfer of central government powers, competences and resources to the local government, closer to the people and/citizen. The concept can also be applied to infrastructures (e.g. decentralised wastewater treatments)." class="taxonomy-tooltip-link">Decentralisation</a> is believed to increase the effectiveness of coordination and flexibility among administrative agencies and in planning and implementation of development.</li> <li><strong>Providing resources: </strong>Providing local communities with material and revenues can contribute to development.</li></ul><p> </p>
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How to Decentralise Government for Sanitation and Water Management
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<p>(Adapted from RIBOT 2002)</p><p>“Most current “decentralisation” reforms are characterised by insufficient transfer of powers to local institutions, under tight central-government oversight. Often, these institutions do not represent and are not accountable to local communities.” (RIBOT 2002) These outcomes of decentralisation processes need to be avoided.</p><p>Generally, it is difficult to decentralise governments for sustainable sanitation and water management without the support of the national (central) government. Some processes might be possible within a central government, others might not. The following points should be considered within a decentralisation, especially when the central government focuses on decentralisation and supports the process:</p><ul><li><strong>Central governments should work with local democratic institutions as a first priority.</strong> Governments, donors, and NGOs can foster local accountability by (1) choosing to work with and build on elected local governments where they exist, (2) insisting on and encouraging their creation elsewhere, (3) encouraging electoral processes that admit independent candidates (since most do not), and (4) applying multiple accountability measures to all institutions making public decisions.</li> <li><strong>Sufficient and appropriate powers need to be transferred. </strong>Local and national governments, donors, NGOs, and the research community should work to develop sanitation and water management subsidiarity principles to guide the transfer of appropriate and sufficient powers to local authorities. Guidelines are also needed to assure an effective separation and balance of executive, legislative, and judiciary powers in the local arena.</li> <li><strong>Support equity and justice. </strong>Central government interventions may be needed for reducing inequities and preventing elite capture of public decision-making processes. Central governments must also establish the enabling legal environment for organising, representation, rights, and resources so that local people can demand government responsibility, equity, and justice for themselves. Furthermore, the local governments need to set out clear policies and a legal framework (see [7046-creating policies and a legal framework]) within the national framework focusing sustainable sanitation and water management issues.</li> <li><strong>Establish fair and accessible adjudication</strong>. Local governments should establish accessible independent courts, or access to national courts, channels of appeal outside of the government agencies involved in sanitation and water management, and local dispute resolution mechanisms. Donors and NGOs can also support alternative adjudication mechanisms to supplement official channels instead of replacing them.</li> <li><strong>Support local civic education. </strong>People need to be informed of their rights (see laws should be written in clear and accessible language, and legal texts might be translated into local languages to encourage popular engagement and local government responsibility. When there are meaningful rights it is critical for people to know them. Local authorities need to be educated about their rights and responsibilities to foster responsible local governance (see also <a href="https://sswm.info/water-nutrient-cycle/wastewater-collection/softwares/creating-and-enabling-environment/bundling-and-unbundling-of-functions-(wwc)">bundling and unbundling of functions</a> and awareness raising (<a href="https://sswm.info/media/58">see PPT</a>)).</li> <li><strong>Give decentralisation time. </strong>Judge decentralisation only after it has been tried. Give it sufficient time to stabilise and bear fruit.</li> <li><strong>Develop indicators for monitoring and evaluating </strong>decentralisation and its outcomes. By developing and monitoring indicators of progress in decentralisation legislation, implementation and outcomes can be evaluated and provide needed feedback that could keep decentralisation initiatives on track (see [7317-participatory monitoring and evaluation]).</li> <li><strong>Document the process </strong>(see also [7319-process documentation]).</li> <li><strong>Find places for local government’s meetings. I</strong>t is not enough that a local government exists and has power and resources, it needs a place to enable meetings, elections, etc.</li> <li><strong>Inform the public.</strong> For a well working local government, the public needs to be informed about its actions and ideas (see also [7074-media campaigns]). It is important to work transparent for the civil society.</li> <li><strong>Avoid corruption</strong>. Corruption needs to be avoided in local governments. It is important for the local authorities to work transparent for the civil society and for higher governmental levels (see also [7622-water corruption]).</li></ul><p> </p>
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Measuring Decentralisation Outcomes Is Problematic
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<p>(Adapted from RIBOT 2002)</p><p>Has decentralisation really occurred? Can change in sustainable sanitation and water management be associated with decentralised institutional arrangements? Characterising decentralisation involves evaluating changes in laws, and their implementation, and in local institutions, their powers, and their accountability. Measuring outcomes involves adequate data before and after decentralisation, or direct observation of processes affected by new institutional arrangements. These institutional, social, and environmental changes (in the sense of the social environment) changes often are difficult to identify and quantify.</p><p>Connecting outcomes to decentralisation and separating these outcomes from other ongoing changes is difficult. Sometimes, it is hard to attribute changes to decentralisation because of the many overlapping sets of [7046-policy and legal framework] reforms. How does one know whether decentralisation is responsible for these outcomes? What are the effects of other phenomena?</p><p>In addition, measuring outcomes requires historic baseline data for before-and-after comparisons. Are seemingly inequitable outcomes less inequitable than what would otherwise have happened? How has inequality changed? Aggregating outcomes is another problematic aspect of measuring decentralisations. How do we assess overall outcomes when some are positive and others are negative?</p><p>Measuring decentralisation outcomes is complicated and needs good [7319-documentation]. of the whole process It depends on many factors, if the outcomes will be positive or negative. In the following, two examples show that decentralisation processes can succeed more or less.</p>
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Example South Africa: Problems With Decentralisation
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<p>(Adapted from DE 2009, JONG 2009)</p><p>Water and sanitation service delivery failures at municipal level are a widespread and fundamental problem in South Africa: Poor communities are receiving sub-standard basic services, and sometimes no services at all; municipalities continue to have service delivery backlogs; etc. There is a general problem of poor governance at municipal level and a public perception that some municipalities do not have the [7056-human skills] to provide a proper service to the poor. Especially rural areas have problems with sanitation and water service delivery.></p><p>The most important reason for this is that complex powers and functions were devolved to local authorities during the decentralisation process, but those local authorities did not have the capabilities of managing them.</p><p>There is a clear need for South African residents to play an active role in ensuring that they can enjoy the services they are entitled to. They need to be empowered to engage meaningfully with the sometimes complex municipal systems and processes (see also awareness raising (<a href="https://sswm.info/media/58">see PPT</a>)). This requires an understanding of the rights of access to information and to public participation (see also [7317-participatory monitoring and evaluation], as well as a basic understanding of law, economics and financial accounting relevant to analysing municipal [7326-tariffs] and financial statements.</p>
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Example Decentralisation in Bolivia: A Success Story for the Poor
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<p>(Adapted from FAGUET 2003)</p><p>Since 1994 Bolivia has undergone a dramatic process of political decentralisation. Recent research has analysed this decentralisation process and argues that it has made the Bolivian government more responsive to the needs of the poor by redirecting public investment to areas of greatest need.</p><p>Up until 1994, the relatively few central government officials that were stationed beyond the national and regional capital had little incentive to concern themselves with local demands. The only route to success and career advancement was to implement policies that were set by central government. In 1994 however, Bolivia introduced the Law of Popular <a href="https://sswm.info/content/participation" title="The action of taking part in activities and projects. The participation of different stakeholders in water and sanitation project is crucial for several reasons: By a broad participation, different points of view can be incorporated, leading to projects and solutions that are more widely accepted…" class="taxonomy-tooltip-link">Participation</a>, making local authorities responsible to local voters for the first time.</p><p>As a result, there has been a dramatic change in the way government money is spent, and this has been a change which has benefited the poor. Resources have been redirected into Bolivia’s smallest and poorest municipalities and government investment has shifted from economic production and infrastructure to spending on social services, education and training. The amount of money spent on education, water and sanitation services has risen in those places where it is most needed ― areas with the highest rates of illiteracy and lowest rates of water and sewage connection.</p><p>Other results of the process included:</p><ul><li>The allocation of government funding amongst municipalities has switched from being based on unsystematic, highly political criteria to a strict per capita basis ― as a result the share allocated to the country’s three largest cities has declined from 86 to 27 %.</li> <li><a href="https://sswm.info/content/decentralisation" title="Decentralisation describes the transfer of central government powers, competences and resources to the local government, closer to the people and/citizen. The concept can also be applied to infrastructures (e.g. decentralised wastewater treatments)." class="taxonomy-tooltip-link">Decentralisation</a> has allowed groups such as neighbourhood councils, peasant communities, traditional indigenous peoples’ organisations, interest groups and business associations to be more actively involved in the political process. In the old system, these groups had very little say in how their communities were run.</li> <li>Lower tiers of government have become more accessible to lobbying and grass-roots pressure, a marked change from a centralised administration that effectively ignored large areas of the country.</li></ul><p> </p><p>Overall, FAGUET (2003) argues that under the right circumstances, decentralising resources and political authority can generate real democratic accountability where none existed before. The transformation of political institutions and of the way in which resources are distributed, can bring about significant social and political changes across the nation within a relatively short time.</p><figure role="group" class="align-center"><img alt="In Bolivia, decentralisation has led to poverty reduction, because more investments have been spent on social services in places where they were most needed. Source: MASOUD (n.y.)" data-entity-type="file" data-entity-uuid="484700a7-3d42-4d18-9703-2ca0cd515d27" height="331" src="https://sswm.info/sites/default/files/inline-images/MASOUD%20n.y.%20Local%20government%20coming%20late.jpg" width="440" /><figcaption><em>In Bolivia, decentralisation has led to poverty reduction, because more investments have been spent on social services in places where they were most needed. Source: MASOUD (n.y.)</em></figcaption></figure><p> </p>
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Wed, 25 Aug 2010 14:00:07 +0000spuhler12309 at https://sswm.infoStrengthening Enforcement Bodies (WWC)https://sswm.info/water-nutrient-cycle/wastewater-collection/softwares/creating-and-enabling-environment/strengthening-enforcement-bodies-%28wwc%29
<span class="field-wrapper">Strengthening Enforcement Bodies (WWC)</span>
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<label>Language</label>
English
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</div><span class="field-wrapper"><span lang="" about="https://sswm.info/user/57" typeof="schema:Person" property="schema:name" datatype="" xml:lang="">spuhler</span></span>
<span class="field-wrapper">Wed, 08/25/2010 - 13:58</span>
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<h3 class="field-label collective-css-head field__label">Executive Summary</h3>
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<p>Enforcement bodies have a very important role in establishing and ensuring the effective application of other software tools in sustainable sanitation and water management (adapted from GWP 2003). Especially economic and command and control tools are based on laws that have been enacted. As laws, rules, structures and responsibilities as well as partnership agreements need to be adhered to, and there must be a sound body monitoring and enforcing them. The actual function of enforcement bodies should be set out in a clear legal framework reflecting water and sanitation policies. Here, we will explain the importance of enforcement bodies, focusing on their needs and principles and showing the negative effect of corruption. Some concluding tips help to strengthen institutional (enforcement) bodies.</p>
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<div class="field-label field__label">Advantages</div>
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pre-condition for successful implementation of many other tools, especially economic and command and control tools, legal framework
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sound enforcement bodies gain trust of community
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might heighten transparency and accountability in local governance
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important part of any institutional framework
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transparency of law enforcement in sanitation and water management leads to public awareness and might have an educational impact
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<div class="field-label field__label">Disadvantages</div>
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problems with corruption possible, mistrust of community
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need for financial resources to pay enforcement bodies and their actions and equipment
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process to strengthen enforcement bodies can take much time
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not working without sound legal framework
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need of good leadership
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requires soundly educated staff
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<div class="field-label field__label">Applicability</div>
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<p>Effective capacity in regulation and enforcement is essential and this applies whether traditional regulatory instruments or innovative pricing and economic instruments are used. However, capacity in regulatory and enforcement bodies varies widely from region to region and stress on capacity building and support is essential (GWP 2003).</p><p><span face="">The legitimacy of the regulatory and enforcement body is critical in ensuring compliance of policies and laws (GWP 2003).</span></p>
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<h3 class="field__item">
Policies and Laws: Framework for Compliance and Enforcement
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<div class="field-wrapper test field field--name-field-factsheet-block-body field--type-text-long field--label-visually_hidden field__items">
<div class="field-label field__label visually-hidden">Factsheet Block Body</div>
<p>Formulating and/or changing [7046-policies and legal frameworks] is an important step when creating an enabling environment for sustainable sanitation and water management. Especially economic and command and control are based on laws that have been enacted.But those laws for the assertion of economic and command and control tools are not working independently. Their enforcement is as important as their formulation itself. Laws can therefore be seen as the framework for compliance and enforcement,as well as for all economic and command and control tools. None of those tools will work without the implementation of the others: On the one hand, economic and command and control tools are based on laws and need a sound institution enforcing them, because otherwise these tools are worthless. On the other hand, enforcement bodies need economic and command and control tools based on laws as statutes for their work, because otherwise they might be misled to act corruptly and arbitrarily.</p><p>The specific functions of enforcement bodies are determined by local government policy and the legal framework of sanitation and water management (see also <a href="https://sswm.info/water-nutrient-cycle/wastewater-collection/softwares/creating-and-enabling-environment/bundling-and-unbundling-of-functions-(wwc)">bundling and unbundling of functions</a>. Those functions include the assertion of command and control tools based on laws. Usually, they are in the local government sector, but they may subcontract specific activities (e.g. monitoring and testing of samples) to NGOs or private companies (see also [7052-privatisation]). It is important that they can act without day-to-day political interference (adapted from GWP 2003).</p><p>Enforcement is a regulatory role, which may be brought out through a legal notice, a direction, or a court order. It also includes the regulation of activities beneficial to sustainable sanitation and water management. Enforcement functions may include responsibilities to identify particular types of offences, e.g. the non-compliance of certain agreements by a partnership contractor. The functions also include to investigate certain matters, gather evidence, take direct remedial actions, confiscate certain things (e.g. licences) and initiate proceedings for prosecution. The legislation sets out the range and limits of monetary penalties for specified offences, and provisions for appeal. (adapted from HANNAM n.y.)</p><p><span face="">Enforcement bodies may be financed through central government or other funds, or by u</span>ser fees or fines for non-compliance. If the latter, the terms need to be very clear to avoid a potential risk of conflict of interest (adapted from GWP 2003) (see also [7314-financing], and [7326-water pricing]).</p><figure role="group" class="align-center"><img alt="The enforcement of laws is as important as their implementation itself. Source: Clipart n.y." data-entity-type="file" data-entity-uuid="b858e0b1-5e49-4184-b600-103046dd3b25" src="https://sswm.info/sites/default/files/inline-images/Clipart%20n.y.%20The%20enforcement%20of%20laws%20is%20as%20important%20as%20their%20implementation%20itself_0.png" /><figcaption><em>The enforcement of laws is as important as their implementation itself. Source: Clipart n.y.</em></figcaption></figure></div>
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Compliance and Enforcement Actors
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<p>(Adapted from U.S. EPA 2006)</p><p>Different actors can be included in compliance and enforcement:</p><ul><li><strong>Offender:</strong> This might be a company from a partnership not acting in the way the contract says, or a single person, a part of the local government, or even a police officer/official inspector violating a law concerning sanitation and water management.</li> <li><strong>Local government: </strong>Local councils have the ability to investigate and take enforcement action on certain sustainable sanitation and water management issues. In some cases, the same body, e.g. the local government, undertakes regulation and enforcement, in others there is a separation.</li> <li><strong>Police </strong>are normally the executive of the government. They have the power to take action over complaints about non-compliance of laws.</li> <li><strong>Private agencies/inspectors </strong>can be subcontracted to enforce compliance in specific areas of sanitation and water management. They might just be responsible for the monitoring or promotion of compliance, or have more responsibilities like tools to regulate or enforce compliance, or to penalise non-compliance.</li> <li><strong>Community: </strong>While the community does not directly enforce the provisions, it plays a crucial role in providing key information to the enforcement actor, for example details of potential offences. Also, the community can be a supporter of enforcement through social control and [7317-participatory monitoring] and evaluation. For example, sanitation and water management laws can allow citizens to sue offenders for failing to comply with the law, and/or the government/private agency for failing to fulfil its duties under the law. Such provisions are an important means of enlisting citizen participation. (adapted from HANNAM n.y.)</li> <li><strong><span face="">NGOs </span></strong>can report non-compliance to the enforcement actors. They might also play a role in monitoring and reporting incorrect behaviour of enforcement bodies. They can also put pressure on potential offenders.</li></ul><p> </p>
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<h3 class="field__item">
Principles of Enforcement Bodies
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<p><span face="">Enforcement bodies have to (adapted from NSW 2006):</span></p><ul><li>act in the public interest</li> <li>act consistently, impartially and fairly according to law</li> <li>promote consistency through effective liaison with field staff and the adherence to policies and procedures</li> <li>ensure not to discriminate on the basis of race, religion, sex, national origin or political association</li> <li>ensure that enforcement action is taken against the right person for the right offence</li> <li>ensure that all relevant evidence is placed before courts or appeal tribunals</li> <li>make sanitation and water businesses aware of their legal obligations through the widest possible dissemination of information</li> <li>make legislation available to industry</li> <li>explain the benefits of compliance in sustainable sanitation and water management issues and discuss specific compliance failures or problems</li> <li>provide advice on mechanisms that can be used to improve compliance</li> <li><span face="">advise regulated parties of their right of appeal where provided by law; provide alleged offenders with an opportunity to discuss t</span>he circumstances of their case</li></ul><p> </p>
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<h3 class="field__item">
What Enforcement Bodies Need
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<p>(Adapted from GWP 2003)</p><p>All the aspects shown below need to be considered before water and sanitation laws are enacted. Otherwise, the enforcement body might suffer from missing transparency, finances or statutes, which leads to water [7622-corruption] and arbitrariness.</p><ul><li>Sufficient staff of adequate capability in enforcement agencies to enforce regulations. The staff needs to be paid well to avoid corruption.</li> <li>Statutes which are practical, enforceable and based on accurate knowledge of sustainable sanitation and water management.</li> <li>Staff who are knowledgeable about good sustainable sanitation and water management practices and have appropriate scientific knowledge.</li> <li>A sense of ownership on the part of stakeholders so that they accept the monitoring, enforcement and regulation procedures.</li> <li>Adequate financial resources to support the staff, their education and operations, and transparency in financial management, to minimise regulatory capture.</li> <li>Meaningful indicators for technical, economic and social issues and appropriate benchmarks.</li> <li>Good leadership.</li> <li>A programme of legal education and awareness building for the enforcement bodies and the general public.</li></ul><p> </p><figure role="group" class="align-center"><img alt="When enforcement bodies work with missing transparency, finances or statues, officials might be misled to act corrupt. Source: BASATI (2010)" data-entity-type="file" data-entity-uuid="0c02e1b8-cd90-4825-8cc7-a80b73ee2a1d" height="386" src="https://sswm.info/sites/default/files/inline-images/BASATI%202010.%20When%20enforcement%20bodies%20work%20with%20missing%20transparency%2C%20finances%20or%20statues%2C%20officials%20act%20corrupt.png" width="530" /><figcaption><em>When enforcement bodies work with missing transparency, finances or statues, officials might be misled to act corrupt. Source: BASATI (2010)</em></figcaption></figure></div>
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<h3 class="field__item">
Enforcement & Corruption
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<p>(Adapted from KLITGAART et al. 1996)</p><p>Enforcement actors are especially prone to corruption that will lead to inefficiency, injustice and inequity. Development processes like sustainable sanitation and water management are hampered by corruption, especially when enforcement officials are corrupt, so that nobody assures the implementation of intervention tools. Therefore, it is crucial for local (and national) governments to fight corruption. Some tips on how to do this are listed below:</p><ul><li><strong>Improve the positive incentives facing municipal officials</strong>. In many areas, pay levels have fallen so low that officials literally cannot feed their families without moonlighting or accepting side payments. Even more important is to strengthen the linkages between pay and performance, and promotion and performance, which in many cases have badly eroded.<figure role="group" class="align-center"><img alt="For the progress of any processes, it is important to fight corruption. Source: WSP (2006)" data-entity-type="file" data-entity-uuid="aa91c20f-a170-428d-be6d-9297c6f82398" height="372" src="https://sswm.info/sites/default/files/inline-images/WSP%202006.%20For%20the%20progress%20of%20any%20processes%2C%20it%20is%20important%20to%20fight%20corruption.png" width="523" /><figcaption><em>For the progress of any processes, it is important to fight corruption. Source: WSP (2006)</em></figcaption></figure></li></ul><p> </p><ul><li><strong>Increase the effective penalties for corruption. </strong>Because of weak or corrupt investigatory, persecutory, and judicial systems, accusations of corruption seldom stick. If they do, the penalties are often minimal in practice (for example, the official is fired). As a result, the expected penalty for corruption does not deter. A key step is to strengthen the capacity and improve the incentives of the police, prosecutors, and judges. Local leaders can be creative in devising disincentives, such as firing or suspending employees, using the press to create publicity, inviting the denunciation of corrupt officials by professional groups, personnel transfers to less desirable jobs, and so forth.</li> <li><strong>Limit monopoly. </strong>Promote competition in the public and private sectors. Avoid monopoly granting regulations when possible.</li> <li><strong>Clarify official discretion.</strong> Simplify rules and regulations. Create “bright lines” that circumscribe duties and discretion. Help citizens learn how public systems are supposed to work (through brochures and manuals, help desks,and rules in ordinary language, publicity/[7074-media campaigns], the use of citizen-service-providers, etc.). Improve citizens’ oversight of what the local government is doing. Social control and pressure are helpful means against corruption.</li> <li><strong>Enhance accountability and transparency</strong>. Clear standards of conduct and rules of the game make accountability easier. So does openness in bidding, grant-giving, and aid projects. Accountability depends on internal auditors, accounting, ombudsmen, inspectorates, specialised elements of the police, and specialised prosecutors. But it also should involve citizens, unions, NGOs, the media, and business in a variety of ways, including citizen oversight boards, hot lines, external audits, inquiry commissions, and so forth. Local governments can help external actors by generating and disseminating more information about public service effectiveness. Finally, local governments should encourage the private sector to police its own participation in corrupt schemes of procurement, contracting, regulating, and so forth.</li></ul><p> </p>
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Wed, 25 Aug 2010 13:58:13 +0000spuhler12296 at https://sswm.infoBundling and Unbundling of Functions (WWC)https://sswm.info/water-nutrient-cycle/wastewater-collection/softwares/creating-and-enabling-environment/bundling-and-unbundling-of-functions-%28wwc%29
<span class="field-wrapper">Bundling and Unbundling of Functions (WWC)</span>
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<label>Language</label>
English
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</div><span class="field-wrapper"><span lang="" about="https://sswm.info/user/57" typeof="schema:Person" property="schema:name" datatype="" xml:lang="">spuhler</span></span>
<span class="field-wrapper">Wed, 08/25/2010 - 13:57</span>
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<img src="https://sswm.info/sites/default/files/styles/thumbnail/public/sites/default/files/Bundling%20and%20Unbundling%20of%20functions_2.jpg?itok=AvCymEUg" width="100" height="100" alt="" typeof="foaf:Image" /></div>
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<h3 class="field-label collective-css-head field__label">Executive Summary</h3>
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<p>The clear allocation of functions for the implementation of sustainable sanitation and water management is crucial for its outcomes. Overlapping functions and responsibilities lead to confusion, conflicts and thus to the slowdown of the process. Therefore, some existing functions and responsibilities might need to be bundled or unbundled to make sure they are well allocated and fixed in the sanitation and water management policies and in the legal framework. The goal of this factsheet is to describe how to bundle and unbundle functions and responsibilities on a local level, to make sure progress in sustainable sanitation and water management will thereby not be hampered.</p>
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<div class="field-label field__label">Advantages</div>
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Clear definition of functions
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Avoiding inefficiency and conflict
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Heightens transparency
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Better use of expertise
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Includes capacities of each stakeholder
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<div class="field-label field__label">Disadvantages</div>
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A stakeholder platform is necessary to find out about optimal function allocation
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The discussion of functions and responsibilities might lead to conflicts
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<div class="field-label field__label">Applicability</div>
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<div><div><p>Bundling and unbundling of functions and tasks has a very wide applicability. It can always help avoiding overlaps and gaps of functions and responsibilities and is therefore especially helpful if conflicts about functions and responsibilities exist.</p></div></div>
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Why to Bundle and Unbundle Functions
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<p>For implementing sustainable sanitation and water management on the local level, the allocation of functions and responsibilities between different institutional spheres and within organisations/institutions is crucial. A clear definition of roles and responsibilities of different stakeholders decreases overlapping and therefore increases the efficiency within a project. As bundling and unbundling of functions codetermines the success of the implementation of many interventions, it is one part of [7047-building an institutional framework] to enable the environment for sustainable sanitation and water management (adapted from DFID 1998). When functions and responsibilities are not set out clearly, the progress of projects will be hampered and conflicts might appear between different stakeholders. (To avoid such conflicts see also [7298-stakeholder strategy plan]).</p><p>Expenditure assignment is usually shared among different levels of government, civil society, and the private sector (see also [7052-privatisation]). The main question to answer is “Who does what?” (HERMANN et al. 2000). Therefore, different aspects need to be analysed: the separation between public and private functions, the relationship between central and local governments,the allocation of functions among municipalities with different capacity, as well as the function of the civil society and of the private sector.</p><figure role="group" class="align-center"><img alt="Too many cooks spoil the broth, if their functions and responsibilities are not clearly defined. Source: WSP (2009)" data-entity-type="file" data-entity-uuid="d910d622-88e1-4edb-9e1b-2bc251c11c85" height="409" src="https://sswm.info/sites/default/files/inline-images/WSP%202009.%20Too%20many%20cooks%20spoil%20the%20broth%2C%20if%20their%20functions%20and%20responsibilities%20are%20not%20clearly%20defined.png" width="672" /><figcaption><em>Too many cooks spoil the broth, if their functions and responsibilities are not clearly defined. Source: WSP (2009)</em></figcaption></figure></div>
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How to Bundle and Unbundle Functions
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<p>The question “Who does what?” is not always easy to answer, and a lot of issues need to be taken into account to analyse which allocation of tasks and responsibilities is expedient. As an efficient allocation of functions depends on the capacity of different stakeholders, the financial background, the [7617-policies and legal framework] and on [7618-socio cultural issues], there is no general best practice, but you will find some tips to find the best solution for your case of function allocation down below.</p><p> </p><h4>Make a Stakeholder Analysis</h4><p>At first, all sanitation and water management stakeholders ― especially key stakeholders ― should be identified (see also [7295-stakeholder identification]). Their links with each other are also important to know. Generally, a stakeholder is an agency, organisation, group or individual whose (COULBY 2009):</p><ul><li>Interests are affected by an issue or project</li> <li>Activities strongly affect an issue or project</li> <li>Power, money, technical expertise or organisational profile gives control over relevant implementation instruments</li> <li>Information, resources, experience or expertise is required for strategy or policy-making on an issue</li></ul><p> </p><p>As water and sanitation are both social goods (to which people have a right) and economic goods, three broad groupings need to be involved (adapted from MORIARTY et al. 2007):</p><ul><li>Main social groups (men, women, poorer, better-off) who have a right to water and sanitation</li> <li>Main water-user groups (farmers, domestic users, industrial users, etc.)</li> <li>Main institutional stakeholders including private sector water and sanitation providers, local NGO’s/ CBO’s, local government and politicians, legal representatives and enforcement bodies (see also [7049-strengthening enforcement bodies])</li></ul><p> </p><p>Try to make a diagram like the one down below, where you write down all stakeholders and mark their connect ions to each other.</p><figure role="group" class="align-center"><img alt="Stakeholders and their connect ions to each other should be identified. Source: MORIARTY et al. (2007)" data-entity-type="file" data-entity-uuid="fe0e4917-54df-4eff-9417-1077a36d5988" height="397" src="https://sswm.info/sites/default/files/inline-images/MORIARTY%20et%20al.%202007.%20Stakeholders%20and%20their%20connect%20ions%20to%20each%20other%20should%20be%20identified.png" width="702" /><figcaption><em>Stakeholders and their connect ions to each other should be identified. Source: MORIARTY et al. (2007)</em></figcaption></figure><p> </p><h4>Create a Stakeholder Platform</h4><p>Invite all relevant stakeholders (representatives of each group) to a stakeholder platform to discuss the question of the allocation of sanitation and water management functions. The platform needs time to develop; maybe regular over months or even years are needed.</p><p> </p><h4>Identify Actual Functions</h4><p>Find out the actual functions and responsibilities of each stakeholder in sustainable sanitation and water management. Make a difference between the functions and responsibilities he really holds (legal framework, contracts, unwritten laws, etc.) and the functions he thinks he holds. Note that all functions and responsibilities that might overlap or lead to confusion or conflict. This part should be done within a stakeholder platform. (For more information: [7296-stakeholder importance and influence] and [7305-venn diagrams]).</p><figure role="group" class="align-center"><img alt="It is important to find out about all actual functions of each stakeholder to see conflict potential. Source: WSP (2009)" data-entity-type="file" data-entity-uuid="b1fd987d-4520-4f3e-9084-22efee8ba95d" height="418" src="https://sswm.info/sites/default/files/inline-images/WSP%202009.%20It%20is%20important%20to%20find%20out%20about%20all%20actual%20functions%20of%20each%20stakeholder%20to%20see%20conflict%20potential.png" width="669" /><figcaption><em>It is important to find out about all actual functions of each stakeholder to see conflict potential. Source: WSP (2009)</em></figcaption></figure><p> </p><p>The function analysis can be carried out in workshops and with the actors and tasks matrix: Each row of the matrix represents a different actor involved in sanitation and water management, while each column identifies a key task and role. The matrix is filled in based on discussions with stakeholders in workshops. Afterwards, the main overlaps and gaps in the matrix can be compared and completed with the results of other groups. Some guiding questions for the workshops can be found below (MORIARTY et al. 2007):</p><ul><li>Which tasks/ functions are performed by which actors?</li> <li>What activities do the actors carry out in performing these tasks? How effective are they?</li> <li>What gaps are there between tasks?</li> <li>What overlaps are there between different actors/ tasks?</li> <li>Is there a coordinated effort by actors to integrate their tasks?</li> <li>What factors within the system have a positive or negative influence on task performance?</li> <li>What information is held by which stakeholders that helps them to perform their tasks? Is it shared? If so, how?</li></ul><p> </p><figure role="group" class="align-center"><img alt="Overlaps and gaps of tasks need to be identified for the bundling and unbundling of sanitation and water management functions. Source: WSP (2003)" data-entity-type="file" data-entity-uuid="b003183e-2331-4b6f-94f4-79c8779edb60" height="546" src="https://sswm.info/sites/default/files/inline-images/WSP%202003.%20Overlaps%20and%20gaps%20of%20tasks%20need%20to%20be%20identified%20for%20the%20bundling%20and%20unbundling%20of.png" width="667" /><figcaption><em>Overlaps and gaps of tasks need to be identified for the bundling and unbundling of sanitation and water management functions. Source: WSP (2003)</em></figcaption></figure><p> </p><h4>Identify Actors’ Capacities</h4><p>As the key actors need the capacity to fulfil their future function/s properly, it is important to find out about their capacity, expertise and weakness and also about their resources. The potential of each stakeholder should be discussed, which can be done in workshops. The results can be discussed with other groups after the workshops have been finished. Therefore, the identified capacities and weaknesses should be summarised on flip chart papers, with [7301-mindmapping] or the like.</p><p> </p><h4>Propose Future Functions</h4><p>After finding out about capacities and weaknesses of each actor, a possible allocation of the future functions and tasks should be proposed (see also [7307-visioning], [7299-brainstorming] and [7302-SWOT analysis]), in dependence on overlapping and gaps defined in step 3. Key questions for the control of the new allocation of functions might be (adapted from ENGEL and SALOMON 1997):</p><ul><li>Do the proposed functions fall within the scope of the current activities of the actors?</li> <li>Does a relative consensus exist concerning the need to intervene and the need to carry out the interventions proposed by the team and the participating actors?</li> <li>Do the relevant key actors see the functions as being in their interest (see also [7297-stakeholder interests])</li> <li>Whose perceived interests might be negatively affected by the new allocation of functions?</li> <li>Which of the key actors share a need for the perceived interventions? If they work alone, could they make changes?</li> <li>Do the relevant key actors have the resources needed to implement the proposed interventions (financial, human, knowledge base, leadership, organisational capacities)?</li> <li>Which of the key actors has actually expressed willingness to implement some or all of the proposed interventions?</li></ul><p> </p><h4>Implementation</h4><p>After the steps 1-5 have been finished, the new functions need to be implemented by the stakeholders in the allocation proposed before. It is very helpful to fix the new allocation of functions in [7617-policies] to avoid conflict potential. Also, the new allocation of functions should be monitored by all stakeholders, to find out about upcoming problems early.</p>
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Wed, 25 Aug 2010 13:57:10 +0000spuhler12385 at https://sswm.infoBuilding an Institutional Framework (WWC)https://sswm.info/water-nutrient-cycle/wastewater-collection/softwares/creating-and-enabling-environment/building-an-institutional-framework-%28wwc%29
<span class="field-wrapper">Building an Institutional Framework (WWC)</span>
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English
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</div><span class="field-wrapper"><span lang="" about="https://sswm.info/user/57" typeof="schema:Person" property="schema:name" datatype="" xml:lang="">spuhler</span></span>
<span class="field-wrapper">Wed, 08/25/2010 - 13:55</span>
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<h3 class="field-label collective-css-head field__label">Executive Summary</h3>
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<p>The term “institutional framework” refers to a set of formal organisational structures, rules and <a href="https://sswm.info/content/informal" title="The term “informal” in the water and sanitation sector refers to all types of water and sanitation related activities, which are not operating in the legal framework of water and sanitation management in a given area." class="taxonomy-tooltip-link">informal</a> norms for service provision. Such a framework is the precondition for the successful implementation of other sanitation and water management intervention tools and therefore needs to be considered in particular. In the field of water and sanitation management, an institutional framework involves outlining the responsibilities of services institutions for various aspects of the sector (IEES 2006). Institutional structures vary from country to country, but whatever the specific structure is like, it is essential to have mechanisms for dialogue and co-ordination. A balance has to be met between providing a fully integrated approach where specific issues may get lost due to lack of expertise or interest, and a sectoral approach where different policies are followed without any co-ordination (GWP 2008).</p>
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<div class="field-label field__label">Advantages</div>
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Precondition for successful implementation of other SSWM tools
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Gender aspects can be considered in this “new” framework
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Existing capacity can be used as a basis
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Participation of civil society leads to better self-confidence of the locals
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Expertise of private sector can be used
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Clear institutional “home” for planning and management for better co-ordination
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Transparency of organisations leads to efficient allocation of functions
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Local authorities have limited influence towards higher governmental powers and could be restricted on their actions
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Investment costs in long-term capacity building and education of qualified staff
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Friction between partners and stakeholders over priorities and means, lack of clarity about roles and responsibilities often result in high transaction costs
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Process can not be accomplished on a tight schedule, needs time
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Advantages can not be seen directly as the process takes time
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<div class="field-label field__label">Applicability</div>
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<p>The applicability of different organisational arrangements (e.g. public-private-partnership) varies from case to case.</p><p>The composition of institutions in any given country will depend on the nation’s experience and needs. Institutional structures vary from country to country.</p><p>An institutional framework for sustainable sanitation and water management can include organisations of all levels (local, regional, national, international), the political and legal complexity increases with each of the levels.</p><p><span face=""><a href="https://sswm.info/content/decentralisation" title="Decentralisation describes the transfer of central government powers, competences and resources to the local government, closer to the people and/citizen. The concept can also be applied to infrastructures (e.g. decentralised wastewater treatments)." class="taxonomy-tooltip-link">Decentralisation</a> might be a problem in some nations, when there are no local structures welcome from the (central) government’s side. When there is no decentralisation possible, an institutional framework on the local level is not applicable.</span></p>
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Why Ensuring an Institutional Framework?
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<p>An institutional framework is the precondition for the successful implementation of many other sanitation and water management interventions. An institutional framework for sanitation and water management consists of a range of different organisations that are in place (or need to be in place) to develop and manage water resources and the delivery of water and sanitation services at different levels of society (GWP 2008). Implementing an institutional framework is an important process for preparing the ground for sustainable sanitation and water management.</p><p>A lack of a sound institutional framework is the root cause of many failures in service delivery — and a major cause of failed water and sanitation provision. Such institutional weakness often results from the lack of a clear institutional “home” for planning and management, together with limited capacity within institutions to coordinate and manage initiatives. The all-too-common outcome is declining services leading to poor cost recovery and ultimately failed investments that do not meet either current or future demand (e.g. water pricing) (SCOTT et al. 2003).</p><figure role="group" class="align-center"><img alt="A lack of a sound institutional framework is the root cause of many failures in service delivery — and a major cause of failed water and sanitation provision. Source: WSP (2002)" data-entity-type="file" data-entity-uuid="ae4e66ee-f923-46b5-9ff1-d09713dd2a5f" height="486" src="https://sswm.info/sites/default/files/inline-images/WSP%202002.%20A%20lack%20of%20a%20sound%20institutional%20framework%20is%20the%20root%20cause%20of%20many%20failures%20in%20service%20delivery.png" width="598" /><figcaption><em>A lack of a sound institutional framework is the root cause of many failures in service delivery — and a major cause of failed water and sanitation provision. Source: WSP (2002)</em></figcaption></figure><p> </p><p>The capacity to provide services effectively and efficiently is critical for the long-term sustainability of service provision, not only in the field of sustainable sanitation and water management, but in general. Most of the constraints to accelerated delivery of service are due to capacity problems at provincial and municipality levels. Appropriate management models are required to ensure that sanitation service delivery is sustained beyond the implementation of infrastructure projects (WRC 2003).</p><figure role="group" class="align-center"><img alt="Appropriate management models are required to ensure that water and sanitation service delivery is sustained beyond the implementation of infrastructure projects. Source: WSP (2002)" data-entity-type="file" data-entity-uuid="4f2a52bf-afa4-44a4-9290-f75e3b981eaa" height="466" src="https://sswm.info/sites/default/files/inline-images/WSP%202002.%20Appropriate%20management%20models%20are%20required%20to%20ensure%20that%20water%20and%20sanitation.png" width="586" /><figcaption><em>Appropriate management models are required to ensure that water and sanitation service delivery is sustained beyond the implementation of infrastructure projects. Source: WSP (2002)</em></figcaption></figure></div>
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Actors
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<p>(Adapted from GWP 2008)</p><p>A sound institutional framework for sustainable sanitation and water management on the local level needs a lot of organisations and actors to be in place, such as:</p><ul><li><strong>Service providers </strong>range from government departments and municipalities, public corporations, and private sector companies to community-based organisations, and farmers' groups.</li> <li><strong>Regulatory and enforcement bodies</strong> have a crucial role in establishing and ensuring the effective application of tools for sustainable sanitation and water management.</li> <li><strong>The private sector </strong>plays an important role in financing sustainable sanitation and water management. Commercial banks and other financial institutions can finance both public and private sector service providers.</li> <li><strong>Local authorities</strong> can play an important role in overseeing the implementation of activities in sanitation and water management, both within their boundaries and within the local and regional watersheds. They act as regulators and as service providers and have a role in raising finance.</li> <li><strong>Civil Society Institutions (CSIs), Non-Governmental Organisations (NGOs) and Community-Based Organisations (CBOs)</strong> can play an important role in developing and communicating sanitation and water management policies. Also, they can advocate on behalf of nature and environmental protection, develop and test new models and tools for sanitation and water management, increase awareness of the need for sustainable sanitation and water management and mobilise local communities to get involved.</li></ul><p> </p><p>The most important thing about the actors of an institutional framework is that they need to be co-operative, and have clear definitions of roles and responsibilities. Therefore the organisations and actors need to work transparently and in dialogue with each other. It is possible and sometimes very helpful to build partnerships on the basis of basic policies accepted by all parties.</p>
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How to Ensure an Institutional Framework
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<p>An institutional framework must be stable, transparent and based on the rule of law, respecting fundamental human needs and ecosystems conservation, and promoting local empowerment and appropriate cost recovery approaches (DWAF 2003). For the new to-be-developed (local) institutional framework, it is advisable to build on and strengthen the existing structure rather than starting from the scratch (IEES 2006). Therefore, promotion of substantial institutional reform may be appropriate in many cases and could include providing support to a variety of initiatives in the SSWM sector, such as:</p><ul><li><strong>Bundling/unbundling of functions, organisational restructuring: </strong>The distribution and disposition of functions, activities, processes, roles and responsibilities within an organisation needs to be faced for efficient sanitation and water management (DFID 1998). Also, roles and responsibilities between different spheres of government, community organisations, and the private sector need to be clearly defined, established, recognised and the necessary support needs to be provided. Avoid fragmented and/or overlapping mandates between different organisations and stakeholders (IEES 2006). Wherever possible and practical, the roles of regulation and operation should be clearly separated and preferably fulfilled by separate institutions (DWAF 2003). See also <a href="https://sswm.info/water-nutrient-cycle/wastewater-collection/softwares/creating-and-enabling-environment/bundling-and-unbundling-of-functions-(wwc)">bundling and unbundling of functions</a>.</li> <li><strong>Strengthening enforcement bodies:</strong> As laws, rules, structures and responsibilities as well as partnership agreements need to be achieved, there must be a sound body monitoring and enforcing them. See also [7049-strengthening enforcement bodies].</li> <li><strong><a href="https://sswm.info/content/decentralisation" title="Decentralisation describes the transfer of central government powers, competences and resources to the local government, closer to the people and/citizen. The concept can also be applied to infrastructures (e.g. decentralised wastewater treatments)." class="taxonomy-tooltip-link">Decentralisation</a></strong> will bring government closer to rural communities and is a positive factor for better services and the use of local capacity. However, a phased transition is needed to address several issues (IEES 2006). See also [7050-decentralisation].</li> <li><strong>Improving cost recovery</strong> is crucial to generate the resources for maintaining and improving services, to meet both existing and future demand (DFID 1998).</li> <li><strong>Building Public Private Partnerships (PPPs): <em> </em></strong>The government may benefit from the expertise of the private sector in PPPs for SSWM, such as:preparing guidelines, technical assistance, planning, design and contract supervision, construction by large and small contractors, preparation of communications materials, training and capacity building, materials supplies, financing, monitoring (DFID 1998). See also [7051-public private partnerships].</li> <li><strong>Privatising parts of the water and/or sanitation sector:<em> </em></strong>Introducing private sector incentives and management skills may help to overcome service provision problems and the private sector can act as catalyst for change. See also [7052-privatisation].</li> <li><strong>Nationalising parts of the water and/or sanitation sector:</strong> If there are problems with private service providers, it might help to transfer some responsibilities to the (local) government to make the sector work more efficient and less expensive.<em><strong> </strong></em>See also [7054-nationalisation].</li> <li><strong>Enhancing participation and involvement of civil society</strong> at all levels in consultations, planning, decision-making and operation of sanitation and water management, in research and in other related activities (DWAF 2003). Building an institutional framework is a process that will take its time. Most of the advantages are taking place in the long-term, so in the short-term the process might seem to cost money and efforts for no effect. Motivate the public in forcing the targets, for example through the media. See also awareness raising tools (<a href="https://sswm.info/media/58">see PPT</a>). </li> <li><strong>Human resources development</strong> (HRD) and management development that supports improved capability in all these aspects will be needed (DFID 1998). See also [7056-developing human resources].<br /> </li></ul></div>
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Wed, 25 Aug 2010 13:55:09 +0000spuhler12374 at https://sswm.infoCreating Policies and a Legal Framework (WWC)https://sswm.info/water-nutrient-cycle/wastewater-collection/softwares/creating-and-enabling-environment/creating-policies-and-a-legal-framework-%28wwc%29
<span class="field-wrapper">Creating Policies and a Legal Framework (WWC)</span>
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<label>Language</label>
English
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</div><span class="field-wrapper"><span lang="" about="https://sswm.info/user/57" typeof="schema:Person" property="schema:name" datatype="" xml:lang="">spuhler</span></span>
<span class="field-wrapper">Wed, 08/25/2010 - 10:07</span>
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<img src="https://sswm.info/sites/default/files/styles/thumbnail/public/sites/default/files/Policies%20and%20legal%20framework.jpg?itok=D9XCsaXX" width="100" height="100" alt="" typeof="foaf:Image" /></div>
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<h3 class="field-label collective-css-head field__label">Executive Summary</h3>
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<p>A core governmental role is to formulate policies, through which the government can delimit the activities of all sanitation and water management stakeholder groups, including itself. Appropriate policies can encourage participatory, demand-driven and sustainable development. Policies lead to the development of laws and rules and regulation designed to achieve policy goals. Good law for sustainable sanitation and water management recognises and acknowledges existing uses and rights, including international norms. At the same time, it is flexible enough to permit reform in response to technological change and socio-economic need (GWP 2008). Here, we will first give an overview on existing rights and norms related to sanitation and water management. Afterwards, we will focus on the changing process of policies and legal frameworks for the implementation of sanitation and water management intervention tools.</p>
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Precondition for the successful implementation of other tools
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Policies and legal frameworks can set minimum standards
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Clear definition of roles and responsibilities within legal framework
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New frameworks within international norms
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Gender aspects can be considered in this “new” framework
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<div class="field-label field__label">Disadvantages</div>
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Need for enforcement of laws
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Process takes time
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Short-term costs but no short-time advantages
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Local authorities might have limited influence towards higher governmental powers and could be restricted on their actions
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<p>The applicability of policies and a legal framework for sanitation and water management on a local level vary. It depends on the national laws and rights, and on the structure within the country. If you live in a very centralised country with a central government that disables local governmental structures, you might not have the possibility to change or formulate policies and laws on the local level.</p><p>On the other hand, the tool might be very applicable if you have the possibility to work with changes and new formulations on a local level, for example in a country, where local governments and authorities have some power or also where no policies regarding water and sanitation exist.</p><p>The most important thing for the applicability is that existing laws, norms and rights within the country are not being ignored by just formulating new ones. It is possible to change things within the given international and national framework.</p>
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From International Rights and Norms to Local Policies and Legal Frameworks
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<p>In the following, this document tries to provide a brief overview on the human right to water and sanitation and the international norms set by the WHO, which are relevant for sanitation and water management. These rights and norms can be seen as overall goals to achieve in sustainable sanitation and water management.</p><p>Coming from this, it is possible for governments on the national, regional and local level to formulate their policies for enabling the environment for sustainable sanitation and water management. Thus, the second part will show who might change policies why and how and what has to be considered when doing so.</p><p>While changing or formulating policies that create an enabling environment for sanitation and water management, it is also important for national, regional or local governments to adapt their legal framework. Without a sound legal framework, the policies will be unfeasible, and vice versa. Therefore, the last part of this paper will cover the importance and implementation of a legal framework for sustainable sanitation and water management.</p>
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Safe Drinking Water and Basic Sanitation as a Human Right
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<p>In 2010, the General Assembly of the <a href="https://sswm.info/content/united-nations" title="United Nations" class="taxonomy-tooltip-link">United Nations</a> declared the right to safe and clean drinking water and sanitation as a human right (UN-GA 2010). The fact that safe drinking water and basic sanitation are now a human right makes them more urgent and puts pressure on (local) governments to realise them.</p><p>For reaching the human right to water and sanitation for everyone (read more on this issue [7631-here]), the policies and legal frameworks of nations, regions and/or municipalities need to be adapted. The adoption of policies and legal frameworks for sanitation and water management can not be achieved without the consideration of the specific local, regional or national backgrounds, i.e. [7620-sociocultural issues], religious or [7617-political issues] etc. Yet, nevertheless there are some main goals to achieve and some general things to consider when formulating policies and legal frameworks for making the human right to water and sanitation come true.</p><p>A basis for the formulation of policies and legal frameworks on all levels are the international norms on water, sanitation and hygiene (“Guidelines”), offered by the WHO, as one of their core functions is setting, validating, monitoring and pursuing the proper implementation of norms and standards (adapted from WHO 2010):</p><ul><li><a href="https://www.who.int/water_sanitation_health/publications/2011/dwq_guidelines/en/">Guidelines for Drinking-Water Quality</a></li> <li><a href="https://www.who.int/water_sanitation_health/publications/gsuweg4/en/">Guidelines for the Safe Use of Wastewater</a></li> <li><a href="https://www.who.int/water_sanitation_health/publications/srwe1/en/">Guidelines for Safe Recreational Water Environments</a></li></ul><p> </p><p>The WHO guidelines can be used as a framework for national, regional and/or local governments when implementing sanitation and water management intervention tools. They give a close idea of the issues that need to be considered and show what can be achieved in the water, sanitation (and hygiene) sector. As the guidelines are all very bulked, there should be a plan about the priorities to be achieved. The guidelines can be seen as overall objectives.</p>
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Why and How to Formulate/Change Policies for Sanitation and Water Management?
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<p>(Adapted from GWP 2008 and 2009)</p><p>Considering international norms and rights, local, regional or national policies are needed, which allow enforcement and enable the implementation of sanitation and water management measures. Policies delimit the activities of all sanitation and water management stakeholder groups, including the ones of the local government.</p><p>Appropriate sanitation and water management policies can encourage participatory, demand-driven and sustainable development. They lead to the development of laws and rules and regulation designed to achieve the policy goals.</p><p><a href="https://sswm.info/content/sanitation" title="The means of safely collecting and hygienically disposing of excreta and liquid wastes for the protection of public health and the preservation of the quality of public water bodies and, more generally, of the environment. See also environmental sanitation." class="taxonomy-tooltip-link">Sanitation</a> and water management policy on the local level must mesh with overall national economic policy and related national sectoral policies. <a href="https://sswm.info/content/sanitation" title="The means of safely collecting and hygienically disposing of excreta and liquid wastes for the protection of public health and the preservation of the quality of public water bodies and, more generally, of the environment. See also environmental sanitation." class="taxonomy-tooltip-link">Sanitation</a> and water management also means that water and sanitation issues within every economic and social sector must be taken into account. Changes in existing policies, legal frameworks and institutions — or their new development — might be required for the successful implementation of sanitation and water management intervention tools (see also creating an [7047-institutional framework]).</p><figure role="group" class="align-center"><img alt="What is your water policy? Changes in existing water and sanitation policies, legal frameworks and institutions — or their new development — might be required for the successful implementation of sanitation and water management tools on the local level" data-entity-type="file" data-entity-uuid="5bd02007-947a-4d1b-98d2-948cb261fe06" height="536" src="https://sswm.info/sites/default/files/inline-images/INKCINCT%202007.%20What%20is%20your%20water%20policy%20-%20Changes%20in%20existing%20water%20and%20sanitation%20policies.jpg" width="685" /><figcaption><em>What is your water policy? Changes in existing water and sanitation policies, legal frameworks and institutions — or their new development — might be required for the successful implementation of sanitation and water management tools on the local level. Source: INKCINCT (2007)</em></figcaption></figure><p> </p><p>Change is a political process and therefore a negotiated one. It is influenced by a host of factors — history, public perception, development challenges, and [7620-social] and [7613-economic context]. As every region and municipality might have its own backgrounds, there are no universally applicable solutions, but the following five stages might help to co-ordinate a policy change within a local government — with the understanding that some stages happen simultaneously, some may be skipped, and some may need to be repeated:</p><p><strong>Stage 1: </strong>Laying the groundwork for change — gathering evidence and developing a shared diagnosis about problems and possible solutions. In this stage, NGOs might co-ordinate with the local government, and other stakeholders can be involved. Changes are easier when they have a participatory approach from the beginning, so the participation of the civil society should be considered.</p><p><strong>Stage 2:</strong> Capitalising on a conductive environment for change (e.g. a favourable political situation or a crisis that alerts people to the need for change).</p><p><strong>Stage 3:</strong> Creating a growing demand for change (converging public opinion that change is needed). When people know about their right to water and sanitation, they are empowered to force their right and might be open for change. Therefore, it is important to inform the public about its right and generally to raise awareness (<a href="https://sswm.info/media/58">see PPT</a>), for example by carrying out [7074-media campaigns] and [7057-school campaigns] with the help of NGOs or in a participatory process focussed by the municipality.</p><p><strong>Stage 4: </strong>Negotiating the actual change package — formulating new policy, agreeing on reforms (builds on Stage 1). The negotiations need to be lead by the local government and key stakeholders, but it might involve NGOs, civil society institutions and community-based organisations for reaching the best outcome.</p><p><strong>Stage 5:</strong> Ensuring implementation and impact — [7320-follow-up] and [7317-monitoring]. The monitoring can be done in a participatory way, or a <a href="https://sswm.info/water-nutrient-cycle/wastewater-collection/softwares/creating-and-enabling-environment/public-private-partnerships-(wwc)">public private partnership</a> can be built for this job. Also, the local government can be the regulator and monitor the implementation, as well as a NGO.<br />Many water professionals focus on Stages 1 and 4 — formulating the new policy —without considering the other stages necessary to make change happen. Key steps are often ignored as too slow or difficult or unnecessary, especially when a narrowly technocratic or project approach is misused in a social change process. Therefore, always make sure you consider all stages and do not rush some of them — formulating/changing policies is a process that needs its time.</p>
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<p>A <em><strong>national government </strong></em>usually has possibilities to formulate or chance policies and/or the legal framework at national level, which are often binding for lower political level.</p><p>For <strong><em>regional or local governments</em></strong>, this possibilities vary. It depends on national laws and rights, and on the structure within the country: In countries with a central government that disables regional and local governmental structures, there might be no possibility to change or formulate policies on the regional or local level. In a more decentralised country, where regional or local governments and authorities have some power, they might have a more ample scope (see also [7050-decentralisation] or [7054-nationalisation]).</p><p><em><strong>Non Governmental Organisations (NGOs), Civil Society Institutions (CSIs) and Community-Based Organisations (CBOs)</strong></em> can play an important role in developing and communicating policies and legal frameworks. Also, they can work with lobbying and thus influence decision-makers on all levels to adopt international norms and rights.</p><p><em><strong>Communities, schools, households, etc.: </strong></em>Also communities, institutions (such as schools) and even households can formulate their own water and sanitation policies and legal frameworks. Of course, the outreach is limited to their premises, but they can be a powerful tool to optimise water and sanitation management. The Dalit Shakti Kendra, a vocational training institute in Gujarat, India for example, has stringent policies of water use for its students (e.g. only 15 L water per shower are allowed) and a well formulated legal framework (campus rules) to regulate the matter.</p>
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Policies — Things to Consider
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<p>(Adapted from GWP 2008)</p><p>Policies are more useful if they are designed proactively, not just as a short-term response to a crisis — although a crisis may provide an opportunity for policy change. By failing to anticipate change, and taking a narrow sectoral view, sanitation and water management policy development would frequently ignore both macro-economic and development needs. Some key points for effective sanitation and water management policy making on the local level are:</p><ul><li>Ensure policies clarify the roles and responsibilities of local government and other stakeholders — private and public ones — in achieving overall goals and especially define the role of local government as regulator, as organiser of the participatory process and as a last resort adjudicator in cases of conflict (see also <a href="https://sswm.info/water-nutrient-cycle/wastewater-collection/softwares/creating-and-enabling-environment/bundling-and-unbundling-of-functions-(wwc)">bundling and unbundling of functions</a>).</li> <li>Identify and set priorities for key issues to ensure a focused policy. Involve NGOs, CBOs and CSIs in this process.</li> <li>Recognise that considering water and sanitation as social (and economic) goods means, that designing policies for sanitation and water management should focus to offer the greatest value to society, starting with the fulfilment of basic needs (see also [7613-water sanitation and economy]).</li> <li>Make explicit in the policy the links between different sanitation and water management activities and link them with other ecosystem policies. Make clear the embedding in the international norms and rights.</li> <li>Engage different stakeholders in policy dialogue, recognising potential conflicts.</li> <li>Recognise the importance of subsidiarity, so that sanitation and water management decisions are taken at the lowest appropriate level. Always involve civil society to make sure the change is taking place in a participatory manner.</li> <li>Take into account trade-offs between short-term costs and long-term gains.</li> <li>Make functional arrangements and cost allocation explicit, estimate the costs of policies and identify the means for financing them.</li> <li>Recognise the role of women, try to empower them within the policy change (see also [7619-water sanitation and gender]).</li> <li>Take into account sustainability and environmental issues in the planning, design, construction, operation and management of projects.</li> <li>Assess the social impact of sanitation and water management developments.</li> <li>Mandate the provision of easily accessible, accurate and up-to-date data on sanitation and water management and the implementation of intervention tools.</li> <li>‘Reform’ in the sense of changing institutional mandates, policies and legislation is not always what is needed. In some cases, the focus needs to be on implementation of policies or strategies already agreed upon and removing obstacles that prevent organisations from realising their mandate, legislation from being enacted, or policies from being put into practice (see also [7049-strengthening enforcement bodies]).</li></ul><p> </p>
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Why Implement a Legal Framework for Sanitation and Water Management?
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<p>(Adapted from GWP 2008)</p><p>The role of laws for sanitation and water management is to implement and enforce policy, and provide effective administrative and regulatory mechanisms at appropriate levels. Thus, the legal framework is a powerful and crucial tool to support sanitation and water management on the local level, necessarily going hand in hand with the formulation or change of policies explained before. Creation of modern sanitation and water management supporting legislation should follow from the development of integrated and coherent local policies.</p><p>Legislation may be reformed to include the core elements of sustainable sanitation and water management and to support the policy objectives of a national, regional or local government. The legal framework should emphasise principles in support of sanitation and water management elements. Legal reform topics which help create a strong framework might include:</p><ul><li>The enabling institutional framework, including the legal roles and responsibilities of institutions and their inter-relationship (see also [7047-institutional framework]);</li> <li>Mechanisms for different stakeholders (local governments, private parties) to participate in sanitation and water management, e.g. in [7051-public private partnerships];</li> <li>Water and sanitation services and associated rights and responsibilities, covering, for example: provision of water and sanitation for basic human needs, and standards of service (quality of water provided, assurance of supply, efficiency levels, etc);</li> <li>Tariff and [7326-water pricing] systems, including principles of fairness, affordability and protection of the poorest;</li> <li>Customer protection mechanisms, such as timely and appropriate access to information, participation and involvement in sanitation and water management;</li> <li>Equitable allocation of water and sanitation rights by the local government;</li> <li>Regulatory (might be in the hand of local authorities) and [7049-enforcement] functions.</li></ul><p> </p>
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Legal Framework — Things to Consider
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<p>(Adapted from GWP 2008)</p><ul><li>New legislation should be socially acceptable and administratively feasible. Administrative work should not be underestimated, and can not always completely be done by the local government. The involvement of NGOs might help.</li> <li>Keep in mind that a new or changed legal framework for sanitation and water management on the municipality level does not make sense, when there is no possibility to enforce it. The [7049-enforcement] of the laws is at least as important as the laws themselves.</li> <li>Water and sanitation law needs to tread a careful line between completeness and flexibility. It needs to be flexible enough to reflect changing circumstances, yet explicit and complete enough to ensure full discussion of the basic principles and policies and their implications. If not sufficiently firm and clear, framework legislation may allow for arbitrary decision-making by implementers.</li> <li>Regional and local water and sanitation laws must take into account any national laws and international conventions accepted by the country. If you do not know where to find those laws and conventions, a water and/or sanitation NGO might help you to get an overview and find the documents. Also, there might be some information about your country to find in the Internet.</li> <li>Legislative change creates stress for existing uses and water and sanitation rights. In law reform, existing rights and uses and the entitlements of rural and indigenous populations should be protected and transitional provisions made.</li> <li>New water and sanitation legislation should empower women (see also [7619-water sanitation and gender]).</li></ul><p> </p>
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Wed, 25 Aug 2010 10:07:30 +0000spuhler12367 at https://sswm.info